enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
Sanction Mr. Somchart Mahakijkosol Engaging in providing rebates to clients, which are not deemed as benefits customary to services rendered in
Sanction Miss Ponpimon Laochariyakul Buying or selling securities for her own benefit by using clients? accounts
2. Miss Yuvadee Kulvanichpisit3. Mr. Kanpol MarthongNotification No.SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, amended by Notification No. SorThor. 36/2545 Re: Registration of Marketing Officer (No. 4) dated September 16, 2002. clause 15/1
Sanction 1. Miss Nasai Saneykun Notification No.SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21,2000, amended by
Sanction MISS SUNAN WIRUCHVARAKUL Clause 14 (6) , Notification of the Office of the SEC No.SorThor. 67/2543 Re: Registration of Marketing Officer
of Section 317/11 of the Securities and Exchange Act. The Civil Sanction Committee has considered it is appropriate to enforce a civil sanction against the three offenders to whom the SEC notified of
Bangkok, 15 September 2017 ? The Civil Sanction Committee has imposed a civil sanction on Mr. Ravi Lohtong, director and executive of Siam Sport Syndicate Public Company Limited (SPORT), for using
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her