market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage
Bangkok, 12 February 2019 ? The SEC Board has passed the resolution appointing Mrs. Sirivipa Supantanet as Deputy Secretary-General, effective from 11 February 2019.Mrs. Supantanet holds a Bachelor of Accountancy from Chulalongkorn University, Thailand and a Master of Business Administration from Western Michigan University, USA. She has a wide range of experiences on capital market, including supervision of corporate finance, corporate governance, market and securities businesses.Mrs. Supantane...
Bangkok, 25 October 2023 – The Securities and Exchange Commission, Thailand (SEC) has appointed Mrs. Sittasri Nakasiri as Assistant Secretary-General – Strategy and Planning Division, in charge of the Market and Organizational Risk Department, the Strategy and International Affairs Department, and the Research and Data Department, effective from 1 January 2024. Having joined the SEC since 1997, Mrs. Sittasri Nakasiri holds the Bachelor’s Degree in Accounting from Thammasat University and the Mas...
1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market Division;2. Ms. Charuphan Intararoong, Assistant Secretary-General in charge of the Intermediaries and Market Division, has been appointed Assistant Secretary-General in charge of the Investment Management Division. Both appointments have become effective since 16 May 2022.
Bangkok, 14 March 2021 – The Securities and Exchange Commission (SEC) has appointed Ms. Naovarat Chantavanich as Assistant Secretary-General – Internal Excellence Division, in charge of the Finance and General Administration Department, the Human Resources Department, and the Organizational Risk Management and Governance Development Department. Her appointment will become effective on 16 May 2021. Ms. Naovarat Chantavanich obtained a bachelor’s degree in political science (public adminis...
Mr. Wiboon Phatrapiboon obtained a bachelor’s degree in engineering from Kasetsart University and a master’s degree in Science from Chieng Mai University. Prior to joining the SEC, he was Deputy Director at the Digital Government Development Agency (public organization) (DGA). His professional experience includes development of digital standards of government agencies, cyber security and member of the ASEAN Digital Data Governance Task Force._________________________
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management Policy Department, to be effective from 16 January 2020; 2. Mr. Pariya Techamuanvivit, from Director of the Corporate Communication and Investor Service Department to Director of the Sales Conduct Supervision Department, to be effective from 16 January 2020; 3. Mrs. Pattanaporn Tripipat, from Di...
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce (UTCC), and a master’s degree in Business Administration (MIS), Saint Peter’s College, USA. Prior to this appointment, she was Director of the Intermediaries Policy Department. ________________________