Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
3 months, the suspension imposed by the SEC shall remain 6 months. Also, the SEC imposed 40-day suspension on the approval as securities investment consultants on {B} and {C}. The suspension of three
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval
Bangkok, 14 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against (1) Mr. Siwasit Sainumphung (2) Ms. Noppawan Suwan, and (3) Mr. Viroj
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
Chunhavajira(3) Mr. Rawin BoonyanusasnaThe new governors will commence a three-year term on 5 February 2024. Concurrently, three existing governors to depart upon completion of their term are: (1) Dr. Prasarn
Following a referral from the Stock Exchange of Thailand (SET) in 2023 and the SEC’s further investigation, the findings and evidence indicated that during 3 – 14 November 2022, before the inside
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16