Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other
Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East Engineering Plc. (IFEC) in contravention of the SEC regulations on standards of conduct, effective from December 31, 2011. {A}, an investor contact of KGI Securities (Thailand) Co., Ltd., is suspended for two years for his assistance in the FOCUS share price manipulation by providing trading accounts,...
participating in the SET’s JUMP+ Program and having obtained a CGR score of 90 or higher, or an equivalent rating, are designated as sustainability securities eligible for investment by Thai ESG. The revision is
stakeholders regarding suspicious activities involving unlicensed securities companies, derivatives business operators, and digital asset business operators, including such business operators from abroad. These
and concrete direction for moving the whole ecosystem involving issuers, investors, disclosure of information, development of indices, capacity building, and inter-agency coordination. The forum
(Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 28 August 2020.. However, Mr. Lertchai failed to prepared and disclosed the
in securities holdings (Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 7 July 2020. However, Mr. Tanon failed to prepared
, namely: Mr. Jittkasaem Kunchayangkul, Mr. Kasaemson Kunchayangkul, Mrs. Luckana Jantem and Miss Supaporn Saikham, and involving in financial transaction concerning the trade of EARTH share and EARTH-W4.
2026), the SEC has determined that the matter does not constitute a case involving special necessity or urgency as prescribed by law. Accordingly, the SEC has extended the public hearing period to 30