Bangkok, December 22, 2014 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against Yuttana Lipirodkul for operating unlicensed securities and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager and managed money for others by seeking benefits from investment in derivatives. He advertised and so...
the integration of ESG factors, especially climate change, into securities research papers to provide investors with information for making investment decisions. An expert lecturer from CFA Institute
ก.ล.ต. เผยผลงานวิจัยเกี่ยวกับใบสำคัญแสดงสิทธิอนุพันธ์ (Derivative Warrant: DW) ในงาน ?SEC Working Papers Forum 2017? พบ DW ได้รับความนิยมจากผู้ลงทุน โดยมีมูลค่าการซื้อขายเติบโตขึ้น มีผู้ออกและเสนอขาย
เกษตรศาสตร์ และคณะบริหารธุรกิจ สถาบันบัณฑิตพัฒนบริหารศาสตร์จัดประชุมสัมมนา ?SEC Working Papers Forum? ทุกเดือน เปิดเวทีนำเสนอผลงานวิจัยที่เกี่ยวข้องกับตลาดทุน แลกเปลี่ยนองค์ความรู้ระหว่างภาควิชาการกับผู้บริหาร
. Later, on 12 June 2018, the SEC file a criminal complaint against 11 directors of EARTH for making false entries or failing to enter any material statement in documents regarding the increased debt.*In
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the capacities of an investment consultant and private fund manager without obtaining the necessary license. In this context, he sought public engagement regarding the value of securities and the suitability of investments associated with securities, as well as the management of individuals' investme...
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further examination, there was evidence that 13 persons, namely: (1) Mr. Suraphong Triamchanchai, (2) Nippon Pack (Thailand) Public Company Limited (currently renamed as Global Consumer Public Company Limited (NPP)), (3) Ms. Tipparat Sakornsuksriruek, (4) Ms. Rinnapa Kunawatsatit, (5) Mr. Wattana Swatthong, (6) Mr. Danuj Bunnag, (7) Mr. Praphol Milindachinla, (8) Mrs. Kingkarn Smitananda, (9) P-SAT Corporation Co., L...
Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the counterparties or providing the system or facilitating entry into an agreement or match the order for persons who wish to trade or exchange digital assets. In so doing, {X1} has solicited the Thai public and investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 202...
Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions, name and contact address of clients in Thailand, records of their meeting with clients, lists of...
Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company Limited (SUPER) shares.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further inspection has revealed that Khumsup took advantage of the material information, which had not been disclosed to the public, that SUPER would sell off its assets of all kinds in its core autoclaved a...