investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
non-AARG audit regulatory agencies. SEC Secretary-General Ms. Ruenvadee Suwanmongkol stated during her welcome speech on the first day of the workshop: “The SEC is greatly honored to host this year’s
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as
, which would show a decline in the net earnings. Eng disclosed such inside information to Supanee Sukapantawon, her sister. Eng also aided and abetted Supanee in selling 10,263,300 ICHI shares during 23
sister's for her trading account which Pisist had opened for himself. Later, he used the money to buy securities for his own interest.In addition, Pisist advised other clients to buy shares of a company
sister's for her trading account which Pisist had opened for himself. Later, he used the money to buy securities for his own interest. In addition, Pisist advised other clients to buy shares of a company
category will be awarded with the Recognition of Achievement Plaque from Her Royal Highest Princess Maha Chakri Sirindhorn. The second and third runners-up will receive the SEC plaque and the AOP plaque
Securities and Exchange Act (No. 5) B.E. 2559 (2016). As to Malita, her assistance for Sarath to commit the offence was itself an offence liable to the punishments under the said provisions in conjunction with
plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity
allowance for diminution in value of inventories, before such information became public on 25 February 2009. Patra had assisted Phaibul and Pongchalerm in selling such securities through her own account