Bangkok, March 21, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against EMM Consulting Co., Ltd., Alan Sydney Roy Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of EMM Consulting to use their services and investment advice to tranform his pension fund abroad int...
Bangkok, December 22, 2014 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against Yuttana Lipirodkul for operating unlicensed securities and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager and managed money for others by seeking benefits from investment in derivatives. He advertised and so...
Bangkok, November 30, 2011 - Following the investigation on {X1} Co., Ltd. in response to the evidences indicated that the company had operated unlicensed derivatives business, the SEC found that during July 2009 until now, {X1} Co., Ltd. has falsely represented to the general public by advertising the company on the webboard relating to investment and on the website as gold futures trading agent for the company in Hong Kong SAR, who provides services of gold futures contracts trading. The comp...
The amendments will enhance the standards for issuance and offering of debt securities and the disclosure rules to better align with current circumstances and ensure that investors will receive
Bangkok, May 28, 2015 ? The SEC revised regulations for more flexibility to promote cross-border offerings of debt securities and collective investment schemes (CIS). The revision aims to increase
Bangkok, April 17, 2014 ? The SEC requires disclosure of foreign bank branches as issuers of debt securities to focus on information of branches. Meanwhile, both credit ratings of the banks and the
Bangkok, July 17, 2015 ? The SEC supported debt securities issuer to make debt securities offerings with more convenience, less time-consuming, and in line with international practices. Rapee
Bangkok, November 17, 2015 ? The SEC is seeking public comments on a draft revision to the disclosure of summarized material information (factsheet) on all types of debt securities to provide