and the uncertainty of short-term investment returns. The waiver would also benefit JMT Plus as the company would be able to access JMART?s diverse customer bases, which could translate into a
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
Comments on: “Trading costs on the Stock Exchange of Thailand” Authors: Charoenwong C., Ding D.K., Jenwittayaroje N. Comments on: “Risk-taking behaviour during downturn: evidence of loss-chasing and
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients