Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the
Following a report from Maybank Kim Eng and SEC’s further investigation, it was found that from the month of May to 5 October 2016, Pusit, who was the company’s executive at the time, had taken
by virtue of their positions to purchase shares of Professional Waste Technology (1999) Public Company Limited (PRO). The SEC investigation, following a referral from the Stock Exchange of Thailand
Bangkok, March 11, 2015 - The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against four persons for jointly falsifying documents causing Professional Waste
information, in materiality. In this regard, the SEC also filed a criminal complaint against {A} with Thai Royal Police for imparting false statement to the competent officer.Following the SEC investigation to
fairness and transparency, to supervising capital market professional to elevate their role of inspection and preventing listed company fraud. The proposed amendments also aim to enhance the reporting of
Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened