Bangkok, June 29, 2012 ? The SEC declined to grant further extension of dateline for Professional Waste Technology Plc (PRO) to submit the rectified and audited 2011 and reviewed Q1/2012 financial

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

Bangkok, July 12, 2012 - The SEC has commenced consultation period until July 24, 2012 on the proposed revisions of rules governing offer for sale of convertible securities, i.e., convertible

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Limited (IFEC), with the Economic Crime Suppression Division of the Royal Thai Police (ECD) for committing dishonest acts to gain unfair advantage for himself or other persons.  During the month of December

Bangkok, 15 September 2017 ? The Civil Sanction Committee has imposed a civil sanction on Mr. Ravi Lohtong, director and executive of Siam Sport Syndicate Public Company Limited (SPORT), for using

derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid

Bangkok, 17 August 2017 ? The SEC applauded 30 institutional investors and related agencies for announcing to adopt the Investment Governance Code (I Code).In February, the SEC Office teamed up with

Bangkok, 2 December 2016 - The Criminal Fining Committee has imposed a fine of 5,560,000 baht on {A}, a former director of Jasmine International Public Company Limited (JAS), for failing to perform