failure to comply with the SEC?s order, the company and its responsible management are liable to violation of Section 58 (3) of the Securities and Exchange Act B.E. 2535 (1992) with penalties under Section

operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient

projects must be prepared and explored with a view to assessing the project?s commercial viability to create proper returns for investors. In this connection, interested authorities are welcomed to discuss

Bangkok, June 5, 2014 ? The SEC joined with the Association of Thai Securities Companies, the Association of Investment Management Companies, the Thai Bond Market Association, The Thai Bankers

SEC?s approval list who also work for leading auditing firms (big 4). The special audit will cover the transactions with MILL?s business alliances which may be considered as related parties and shares

information on related party transaction in the registration statement and thus mislead investors. Besides, they did not advise the applicant in order to comply with relevant rules and regulations, particularly

Nuprapat and Kanchana with the Bangkok South Criminal Court.The Bangkok South Criminal Court and the Appeal Court ruled against Nuprapat and Kanchana and sentenced them to a five-year imprisonment for

inside information to trade CMO shares along with failure to report the changes of his CMO shareholding and launch a tender offer for CMO shares.With the referral from the Stock Exchange of Thailand, the

Bangkok, February 8, 2016 ?? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against Richard Dunston Malpass, a British

Bangkok, February 1, 2013 ? The SEC, in cooperation with the Association of Thai Securities Companies (ASCO), has urged securities companies to strengthen their Know-Your-Customer/Customer Due