Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the intention to conceal the fact and fabricating false evidence.  She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses.   Following a referral from Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had use...

breach of duty is found.  The above unprofessional acts were in violation of Clause 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of

individuals colluded to commit fraudulent acts in the procurement of equipment from foreign suppliers and/or the procurement of software programs for the construction of solar plants of EA through the aforesaid

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities

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 services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation have revealed that he confirmed with a customer that the RMF units the customer had bought in 2...

Bangkok, 17 November 2016 ? The SEC has filed a criminal complaint against Mr. Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH), and two aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public...

Bangkok, 17 November 2016 - The SEC has filed a criminal complaint against {A}, former deputy managing director of Country Group Holdings Public Company Limited (CGH), and two aiders namely {B} and {C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH exe...

headlined: “SEC files criminal complaints against 25 former IEC executives and associates for fraudulent acts and exploitation of the company’s interest” published on 31 October 2017: https://www.sec.or.th/EN