Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
Bangkok, March 10, 2014 ? The SEC jointly with the Association of Investment Management Companies (AIMC), the Stock Exchange of Thailand (SET), the Thai Bankers? Association (TBA), the Association of
Bangkok, March 17, 2015 ? The SEC, the Institute of Directors Association (IOD), the Federation of Accounting Professions under the Royal Patronage of His Majesty the King (FAP), the Thai Listed
Bangkok, June 16, 2015 ? ASEAN audit regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
Bangkok, January 14, 2016 ? SEC Secretary-General Rapee Sucharitakul today announced the SEC Strategic Plan 2016-2018 to stakeholders from all sectors, placing a special focus on well-balanced and