Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

Mr. Thawatchai Pittayasophon, Deputy Secretary-General of the Securities and Exchange Commission (SEC), and Mrs. Sittasri Nakasiri, Assistant Secretary-General, joined the ASEAN Capital Markets

The Securities and Exchange Commission (SEC), led by the Capital Market Education Department, collaborated with SEC Ambassador in organizing a workshop on “Financial Investment Knowledge,” featuring

Srisawad Capital 1969 Public Company Limited Srisawad Capital 1969 Public Company Limited ("SCAP"), a listed company, prepared and submitted the inaccurate key financial ratio for the year

G Capital Public Company Limited G Capital Public Company Limited ("GCAP"), a securities issuer, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the

G Capital Public Company Limited G Capital Public Company Limited ("GCAP"), a securities issuer, failed to prepare and submit the financial highlight for Q2/2024 through the transmission

G Capital Public Company Limited G Capital Public Company Limited ("GCAP"), a securities issuer, failed to prepare and submit the financial covenants for Q2/2024 through the transmission

, which helped support investors’ confidence. This is despite the fact that this factor, coupled with the stable policy rate, resulted in increased volatility in money and capital markets as well as foreign

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.