Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
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
return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years
replaced the first two notifications above. (b) Nitchawan violated Clause 23(1) and Clause 23(2) regarding prohibited characteristics of capital market personnel under Clause 31(1) of the Notification No
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
has been promulgated in replacement of the said two notifications.
Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities underwriting will also be revised in responsive to current circumstances. The consultation...
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing