Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC?s finding that he had made audit mistakes and failed to comply with the auditing standards in performing the audit of financial statements of public limited companies applying for public offering of newly issued securities. The SEC?s review on working paper indicated that Chanunkorn had made mistake...

Bangkok, August 20, 2009 ? The SEC is inviting public comments on the revision to the rules specifying the prohibited characteristics of personnel in securities and derivatives businesses. The

insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited

(2018). Under the proposal, the qualifications or prohibited characteristics of digital asset business license applicants, their directors and major shareholders under Clause 3* (10), (11), and (12) (b

pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management

were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were

Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC