Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory

The SEC Board’s approval of the principles for supervising additional digital asset businesses would not only benefit securities companies that have recently showed their growing interest in offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory service and soliciting the public to invest in digital assets, which may be liable to fraud and ca...

business. SEC Act S.133 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 40/2024 Dated 13/05/2024

for their own benefit or others. SEC Act S.133 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 40/2024 Dated 13/05/2024

Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 38/2024 Dated 13/05/2024

Meeting No. 5/2024 Settlement Committee Order No. 56/2024 Dated 23/07/2024

Board. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024

Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024