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Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He also admitted taking such trading orders via mobile phone. In addition, some of his clients' tra...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4881

SEC suspends an investment consultant for not taping client's orders

Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she confirmed the clients' trading orders via telephone, as she understood that these could have been ev...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4845

Deadline for THL?s special audit report submission not extended

related parties and asset control management. Submission of special audit report will become due on December 9, 2011. THL has later requested for extension of submission while THL has not appointed any

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4505

Investor Alert : Facebook Page ชื่อ Stocks Are Not Difficult

Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=0087&CaseYY=2567

รายงานผลการขาย IPO - FIRM : บริษัท เฟรเซอร์ส พร็อพเพอร์ตี้ อินดัสเทรียล รีท แมนเนจเม้นท์ (ประเทศไทย) จำกัด

ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000

http://capital.sec.or.th/webapp/corp_fin2/cgi-bin/r81_1.php?lang=t&ref_id=74&content_id=1

Mutual Fund Prospectus - DAOL-BOND6M : DAOL BOND FUND 6M NOT FOR RETAIL INVESTORS

DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 14/04/2020 - 21/04/2020

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0197&PYR=2563

Mutual Fund Prospectus - DAOL-BOND6M2 : DAOL BOND FUND 6M2 NOT FOR RETAIL INVESTORS

DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 19/05/2021 - 25/05/2021

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0205&PYR=2564

Mutual Fund Prospectus - DAOL-BOND6M3 : DAOL BOND FUND 6M3 NOT FOR RETAIL INVESTORS

DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 20/01/2022 - 26/01/2022

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0014&PYR=2565

Mutual Fund Prospectus - BCAP-GPE22A UI : BCAP Global Private Equity 22A Fund Not for Retail Investors

BANGKOK CAPITAL ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 06/05/2022 - 09/05/2022

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0022&PYR=2565

SEC revises annual fee calculation rules for listed companies not submitting annual financial statements

existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished or revised to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9050