-approval of each option clearly to the bondholders, together with the reasons and opinions of the bondholders' representative. Furthermore, the SEC requests the bondholders to scrutinize the information in

Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on 12 offenders* for manipulating the share price of Scan Inter Public Company Limited (SCN), requiring them to pay the total amount of 28,223,311 baht (comprising civil penalties, compensations in the amount equal to the benefits received or would have been received and reimbursements of investigative expenses incurred by the SEC). These individuals were also prohibited from trading securities and derivatives for 14...

Earlier, the Civil Sanction Committee resolved to impose civil sanctions on {A} for obstructing and not cooperating with other IFEC directors to set up board of directors meetings and a shareholders meeting to appoint new directors to fill vacancies, while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that {A} disobeyed the board of directors’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such mis...

PFS International Consultants Limited Website: www.pfsinternational.co.th : Unlicensed securities and derivatives business (Disclosure Date : 04/02/2015)

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securities investment consultants, had committed wrongful acts against clients at various branch offices as follows:                  (1)  In the case of Miss Surasa Mungthaworn, it was found that she had

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any

record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients

Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional