) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA.  The Civil Sanction Committee has resolved to authorize SEC to initiate civil

results of three companies under the audit and review responsibility of her audit group. She had the authorized access to view the draft financial statements in the EY information system and disclosed the

the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the

Bangkok, 18 January 2019 ? The SEC has imposed civil sanction on three offenders for manipulating the share price of Bangkok Airways Public Company Limited (BA), namely (1) Mr. Prasert Prasarttong

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of...

Bangkok, 10 January 2017 ? The SEC has announced the three-year strategic plan (2017-2019), which focuses on driving the Thai capital market competitiveness with financial technology. The plan aims

. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for

license with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) for further legal proceedings. With reference to clues and the SEC?s findings, the three aforesaid individuals