Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
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Building Confidence in the Capital Market No. 6/2017 SEC extends deadline for KC special audit report Bangkok, 10 February 2017 – The SEC has extended the deadline for submitting the special audit
The Approval of Personnel in the Capital Market Business
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
Building Confidence in the Capital Market No. 22/2018 SEC instructs EARTH to clarify the existence and the fair value of mining property rights Bangkok, 16 March 2018 – The SEC has instructed Energy
for such trading was made from the client account by {A} without the knowledge of the client.The {B} case was also lodged by an investor. The SEC's finding from an examination of conversation records