civil sanctions on Surin.  However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee.  SEC, therefore, requests the public prosecutor in writing to file a

The SEC Civil Sanction Committee (CSC) had earlier resolved to impose civil sanctions on all four offenders of this case, among which only two agreed to comply with the specified civil sanctions. However, the other two, namely, (1) LLC Fair Expo company and (2) Mr. Mikalai Zahorski, who are subject to a total monetary civil sanction of 6,005,620 baht (a civil penalty and a reimbursement of investigative expenses incurred by the SEC), refused to comply with the specified civil sanctions, which wa...

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found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were...

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives