of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
million, increasing by Baht 166.07 million or 92.97% from the same previous period of Baht 178.62 million. Due to the full revenue recognition from the business obtained from Chilmatch Co.,Ltd. and its
received the proceeds from the sale of bonds and capital-increase funds, there were fund transfers from STARK and its subsidiaries to other companies or persons involved in the falsification of financial
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
Division of the Royal Thai Police on account of offering securities for sale to the public without approval.According to the received information and the SEC?s further inspection on public solicitation for
attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public
Miss Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of
May 2004. Clause 2. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs
Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be