violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days

regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

related policies or guidelines in accordance with the Notification of the Securities and Exchange Commission concerning Rules in Detail on Establishment of Information Technology System as well as the

Bangkok, January 27, 2015 ? The SEC eases investment rules to allow mutual funds for retail investors (retail fund) and private funds to invest in the GMS instruments. Vorapol Socatiyanurak, SEC

interest before deciding to invest. In case of IPOs, investors can access important information in the prospectus provided by the issuer or inquire securities companies. After subscription, investors should

, effective from 12 October 2018;  (b)  suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

English (United States) Offering Of Investment Units Sign In × Home >   Laws/Regulations >   Regulations