Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {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
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
to ensure that the retail funds are managed based on industry best practices.About the ACMF · The ACMF is a high-level grouping of capital market regulators from all 10 ASEAN jurisdictions
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
., institutional and high net worth investors, to enhance competitiveness of asset management companies and diversify choices of investment for investors with higher risk tolerance. The draft revision aims to allow
first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities