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

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, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and

financial officer, failed to report to the Stock Exchange of Thailand (SET) and the SEC that the company had been filed for bankruptcy by its creditors on 8 May 2017 and later became under the Court's

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

Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri

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

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