former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders.  Following a report from Bualuang Securities PLC., the SEC further probed into the case

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to

information without reasonable causes or with unreasonable excuses.The acts of Zipmex and CEO Akalarp were liable to be a failure to comply with the order of the Competent Officer, subject to the offenses and

Easy Pay : Unlicensed digital asset business (Disclosure Date : 19/09/2024)

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

such sanction; however, they refused to pay the civil penalty. Consequently, the SEC forwarded the case for the public attorney to bring a further legal action in the Civil Court. In this regard, a

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

provision, ensuring that the clients agree to pay a fine if the securities companies are penalized by the SET or the clearing house due to the clients’ failure to comply with regulations related to short

addition, BROOK Audit Committee (AC) agreed with IFA that the average purchase price for MAC shares is materially higher than the adjusted book value and it is uncertain for BROOK to receive distribution