Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key
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
permissible rate of 15 percent. The majority of PVDs invest as much as 85 percent of the total investment money in debt securities and bank deposits. Such low-risk, low-return pattern results in slow fund
their own interest by seeking clarification from investment consultants regarding the nature and features of the investment vehicles in which they are interested, conditions for earning returns
Bangkok, 31 October 2017 ? The SEC has filed criminal complaints against former directors and executives of The International Engineering Public Company Limited (IEC) and their associates, totaling 25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent w...
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
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
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