lawsuit against them with the Bangkok South Criminal Court.The Bangkok South Criminal Court ruled against both defendants as principals on two counts in accordance with Section 42 Chor (1), (2) of the
lawsuit against them with the Bangkok South Criminal Court.The Bangkok South Criminal Court ruled against both defendants as principals on two counts in accordance with Section 42 Chor (1), (2) of the
matter, please go to compliant filed with inquiry officer
consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
has been promulgated in replacement of the said two notifications.
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
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
3, 2014 which 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, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due