information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27
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
within 30 November 2017. The SEC later extended the deadline for PACE as requested, to 15 January 2018. However, PACE has failed to submit the clarification and disclose the required information within
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
statement later. In case investors do not want the full prospectus, they must be given the summary of key investment information. The consultation paper can be found at https://www.sec.or.th
seeking listing on the Stock Exchange of Thailand’s LiVe Exchange. A public and stakeholder hearing on the matter was conducted during the months of May and June 2022. The SEC later issued a notification
. The SEC conducted a public hearing on the governing principles in late 2015 and later took into consideration the comments and suggestions of business operators and related parties during the amendment
on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
subscribe its subsidiary?s capital increase shares, it turned out that the purchaser, just about six months later, sold a listed company Million Miles shares at the price very much higher than the