Earlier, by virtue of Section 267 of the Securities and Exchange Act of 1992, the SEC, with the approval of the SEC Board, ordered an attachment of assets of 10 entities who were imposed with the

No. Tor Lor Thor. 8/2557, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560. SEC therefore ordered the approval of all three investment consultants on

According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a

as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for

with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and

process of setting up an extraordinary shareholders meeting No.1/2018 and the criteria for nomination of candidates for directorship.The SEC therefore ordered that all three remaining directors whose

under Section 296 of the said Act. As he agreed to enter the settlement procedure, the Settlement Committee ordered him to pay a fine of 500,000 baht.?

misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by

Bangkok, 23 June 2017 ? The SEC has ordered Energy Earth Public Company Limited (EARTH) to have a special audit on the advanced payments for goods and purchase deposits and disclose the results of

several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to