Bangkok, October 6, 2014 ? The SEC revoked approval of  2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a

performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as

The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost  work systems while the approval process is underway

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the

On 9 July 2020, the CMSB Meeting No. 13/2563, chaired by SEC Secretary-General Ruenvadee Suwanmongkol, passed a resolution approving the regulations related to the establishment of high yield bond

market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her