) and Bank of Thailand (BOT)??Making rules and regulations clearer for market participants??Improving shareholder redress, including through SEC enforcement??Finalizing convergence to International

client's bank account. However, the transferred money was in fact from an unauthorized sale of other shares in the client's account, not the ones initially identified; (2)  Soliciting a client to subscribe

Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he

, he was employed by the Kiatnakin Phatra Bank Public Company Limited. The Securities and Exchange Commission (SEC), with the inspection reports submitted by the Kiatnakin Phatra Bank PLC and the

Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units

Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

(SOE) listed on the Stock Exchange of Thailand (SET) in compliance with international audit standards which have become effective this year.  This collaboration is supported by the World Bank who renders

) and Bank of Thailand (BOT)? Making rules and regulations clearer for market participants? Improving shareholder redress, including through SEC enforcement? Finalizing convergence to International

The Securities and Exchange Commission (SEC), in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and the Bank of Thailand (BOT), organized activities to