), the number and type of the total shares sold of the Company. 3 Disclosure of information related to applicable laws shall apply to the Company which has already disclosed such information in the

units of funds had been traded according to their intention. Miss Surasa Mungthaworn confessed that she had fraudulently taken over 17 million baht from clients to be used for her own interest

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

non-AARG audit regulatory agencies. SEC Secretary-General Ms. Ruenvadee Suwanmongkol stated during her welcome speech on the first day of the workshop: “The SEC is greatly honored to host this year’s

In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a

category will be awarded with the Recognition of Achievement Plaque from Her Royal Highest Princess Maha Chakri Sirindhorn. The second and third runners-up will receive the SEC plaque and the AOP plaque

plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity

(employee?s choice) in cases where the fund member chooses to invest less than 50 percent of his or her PVD?s proceeds in the fund with low risk investment (low risk investment policy refers to a policy to

, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015

judgment in relation to Suree that she was an aider and abettor rather than a principal, and thus sentenced her to a four-month imprisonment and a fine of 133,333.33 baht for the violation which occurred