without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

decisions for them. From October 2012 to March 2013, he made trading decisions on behalf of the clients on a continuous basis with more than 300 million baht in trading value. Moreover, he traded for the

for a term of two to five years and a fine from 200,000 baht to 500,000 baht and a further fine not exceeding 10,000 baht for every day during which the contravention continues. The SEC has therefore

Limited (SUPER) shares.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further inspection has revealed that Khumsup took advantage of the material information, which had not been

the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4

client's bank account. However, the transferred money was in fact from an unauthorized sale of other shares in the client's account, not the ones initially identified; (2)  Soliciting a client to subscribe

2018 Vs 2017 1. Revenue 1.1 Brokerage fees The Company’s brokerage fees in 3Q2018 were Baht 211 million, a decrease of 8% from 3Q2017, mainly due to a decrease in brokerage fees from retail clients. 1.2

registration of the change of IFEC directors derived from the cumulative voting because it was a breach of the company's articles of association and in violation of Section 70 of the Public Company Limited Act

According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further examination, there was evidence that 13 persons, namely: (1) Mr. Suraphong Triamchanchai, (2) Nippon Pack

The SEC has been invited to become a member of ASEAN Taxonomy Board (ATB) and has been participating in the meetings as a member from July 2024 onwards. The ATB was established and endorsed at the