report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
significant requirements have been added; for instance:- Shares publicly offered must be listed on the Stock Exchange of Thailand;- Regulatory mapping in the area of investor protection must be prepared
case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were
Bangkok, July 20, 2015 ? The SEC takes further actions under the securities and exchange law after the Department of Business Development (DBD) clearly indicated that disallowing shareholders to
Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Chai Sophonpanich for disclosing inside information for other persons to purchase shares of Bangkok
Bangkok, December 2, 2015 ? The SEC Settlement Committee has imposed fines on (1) Korsak Chairasmisak, (2) Piyawat Titasattavorakul, (3) Pittaya Jearavisitkul, and (4) Athueck Asvanund at a total
Bangkok, February 15, 2013 ? The SEC hosted the first meeting of heads of capital market policy makers and regulators in the Mekong region on February 8, 2013 in Bangkok. This high-level meeting was
unlawful gains for the benefit of herself and others, in violation of Section 311 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Phra Suthep Arpassaro (Panpai) and Vachala Pisitsak were also
Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and