Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure and fill in the vacancies. All appointments and rotations have become effective since 1 January 2023.The appointments of departmental directors are as follows:1. Mr. Putthimes Thanarersk, Director of the Digital Asset Enforcement Department2. Mrs. Juraiwan Sritiapetch, Director of the Fundraising...
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
Bangkok, 2 December 2016 ? The Criminal Fining Committee has imposed fines on Mr. Assavin Chingumtornvong, a former chief executive officer of Thai Industrial & Engineering Services Public Company
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
Bangkok, February 8, 2011 ? The Criminal Court has extended the freezing order against assets of Wichai Chaisathaporn for another 90 days from January 25, 2011. Earlier on May 27, 2010, the SEC filed a criminal complaint against Wichai with the Department of Special Investigation (DSI) for allegedly misappropriating 179.6 million baht worth of Nippon Pack (Thailand) Plc. (NIPPON) assets, falsifying documents and recording false accounting information. The SEC later issued a freezing order agains...
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
Bangkok, September 17, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 2,820,000 baht on Ratanachai Phatinavin, an executive of Eastern Star Real Estate Public Company
The Securities and Exchange Commission (SEC) participated in the Declaration of Intent to drive and promote the involvement of the business sector in the Thai capital market in preserving and
Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange (SEC), joined the Declaration of Intent on “Fight Against Investment Scammers”, a