information of a company secretary, and head of compliance unit. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
charge. The event will be held on Tuesday March 10, 2015, 08.30 ? 16.30 hrs., at Room 1601 and 1501, the SEC Office, Vibhavadi-Rangsit Road. Please contact 0-2263-6023 or 0-2695-4674 for more information
SEC, the requirement of which has been applicable to providing the said service to retail investor.?Revision of regulations aims at facilitating more convenience for business operation in providing
Bangkok, November 10, 2011 ? The Securities and Exchange Commission has passed a resolution at the monthly meeting No. 12/2011 allowing amendment to the regulations governing local and foreign credit
- Comprehensive: Timely and comprehensive capital market information presented in plain language.The new SEC website will go live on October 14, 2013, at 16.30 hrs. Feedback from the public is always welcomed
Stock Exchange of Thailand on 13 March 2017 and his statement at the press conference the following day when he reassured that the foreign borrowers were unrelated to him. As a result, he is liable to
), together with Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director, jointly made a fraudulent arrangement for KC to offer the 25 B/E issues at
arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank