therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 January 2022. ________________________
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage
maintain compliance with the approval conditions at all times. In the event that its proposed rules would affect the business operations or the interest of members, investors or stakeholders, the
and authorized director Mr. Arak Ratborihan on account of offering for sale of newly issued shares for a private placement without obtaining a prior approval from the SEC.According to the SEC's further
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing