first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and

Earlier, by virtue of Section 267 of the Securities and Exchange Act of 1992, the SEC, with the approval of the SEC Board, ordered an attachment of assets of 10 entities who were imposed with the

Bangkok, August 8, 2013 ? The SEC ordered Millcon Steel Plc. (MILL) to arrange a special audit by either the auditor who audited the company?s 2012 financial statements or any other auditors on the

According to the earlier disclosure made by CPAXT, the company will invest in The Happitat Project through a joint investment in AGP by holding 95 percent of the total issued shares with the total

Bangkok, July 26, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Mr. Sakorn  Suksriwong for soliciting a person to purchase shares of BFIT Securities Public Company

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Ms. Nicharadee Sukjaroenkraisri (formerly known as Ms. Sugunya Sukjaroenkraisri) During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC"

, the SEC Board ordered Zipmex to return assets to its clients as per their requests.Later, at the meeting on 21 February 2024, the SEC Board considered that Zipmex had failed to comply with the

for shares and transfer 720,000 baht into Apple Wealth's bank account for such purpose. Sakkarin, however, informed the company that such money belonged to another client and changed the name and phone