consultant for three months, which is counted as part of the five-year ban, SEC shall continue to ban her from re-entering the industry for another four years and nine months, starting from 15 January 2020
on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1
characteristics**. The SEC has set the period of the ban for one year, starting from 5 September 2018, during which Mr. Thanawat cannot serve as a director or executive of a securities company or a listed company
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
proceeding, starting from 6 October 2016.In this case, the ban was not resulted from a criminal complaint initiated directly by the SEC, but from a criminal charge of the public prosecutor. The SEC had
make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
associated with digital assets. The SEC recommends that anyone interested in trading digital assets study information and all associated risks carefully and make sure that they are capable of accepting the
after the issuer has become a listed company. SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC always emphasizes the importance of information disclosure of listed companies to make sure that