Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A}  for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

for new trustee appointment. (3) Resolutions to dismiss or appoint a new trustee: In case of REITs and Infra Trusts, such resolutions must be approved by not less than 3/4 of the total number of the

not approved for sale, which are deemed illegal under the laws enforced by the SEC, the SEC will request that the event organizers close these booths and pursue legal action, which may result in both

to investment advice and service solicitation. If it is found that solicitation activities are being conducted by unlicensed business operators or involve investment products not approved for sale

Bangkok, 25 January 2019 ? The SEC advises the public to be cautious with the solicitation to invest in the initial coin offering (ICO) of BSmart digital tokens as it has not been approved by the

of business operators who are not under the SEC’s supervision and the list of products that are not approved for public offering, please visit Investor Alert Page on the SEC website via this link

baht. Thus, this would be considered an inappropriate price. In forming the opinion on the said matter, the IFA has also taken into account related expenses that may incur if the acquisition is not

regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not