According to investors’ tips and SEC’s investigation, there are public solicitations for investment in investment units via online media channels such as company website, Facebook and Line
the SEC to order directors and executives who are responsible for the company’s disclosure to provide a clarification themselves if the company fails to disclose such material events; moreover, if a
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
Bangkok, September 17, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 2,820,000 baht on Ratanachai Phatinavin, an executive of Eastern Star Real Estate Public Company
of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients
. Rapee Sucharitakul, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the revision of regulations to govern qualifications of non-listed company issuers proposing
Page 1 of 2 Ref.GEL.CS.014/2561 9th May 2018 Subject: :The disposition of the common shares held in Prinda Public Company Limited To: :President The Stock Exchange of Thailand Regarding to the Board
main business of the company. After studying the feasibility of the project Found that the said investment can grow up and generate income, therefore deems appropriate to invest. 11. The opinion of the
Bangkok, November 30, 2011 - Following the investigation on {X1} Co., Ltd. in response to the evidences indicated that the company had operated unlicensed derivatives business, the SEC found that