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Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7316

SEC sanctions an investment consultant for failure to keep complete record of securities trading orders

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5926

SEC suspends an investment consultant for failure to keep complete derivatives trading orders

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5739

บุคคลหรือนิติบุคคลที่มิใช่ผู้ประกอบธุรกิจภายใต้การกำกับดูแลของ ก.ล.ต. : Facebook อ้างชื่อ Complete Coffee Business Amz.

Facebook อ้างชื่อ Complete Coffee Business Amz. - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 17/11/2568)

http://market.sec.or.th/public/idisc/th/Viewmore/invalert-det?CaseID='3535&CaseYY=2568

SEC urges EARTH shareholders to study the meeting agenda on a private placement of shares to former executives

and approval of an offering of capital shares for a private placement to Mr. Pisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Phiroon Phihakendr, Mr. Phipat Phihakendr and Mr. Phiboon Phihakendr at

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8022

SEC urges HYDRO shareholders to exercise their voting rights on a private placement deemed inappropriate by the independent financial advisor

rights to protect their own interests. Additionally, the shareholders should inquire with the Board of Directors and the management of HYDRO for details to ensure they have complete information for

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11718

SEC public hearing on proposed regulations to allow SMEs and startups to offer sustainability-themed bonds via crowdfunding and private placement

industries. The SEC is therefore proposing to amend the regulations on debt securities offering to support the issuance and offering of sustainability-themed bonds through crowdfunding and private

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9903

SEC instructs ACC to provide additional information on the allocation of capital increase shares through private placement to ensure that shareholders have sufficient material information for

ACC submitted a letter providing clarification to the SEC and publicly disclosed such information through the SETLink on 1 April 2026 regarding the criteria applied in selecting private placement

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=12742

SEC public hearing on draft regulations relating to resignation, dismissal, and appointment of trustees of Real Estate Investment Trusts, Infrastructure Trusts and Private Equity Trusts when such

the votes of unitholders who have special interests in the matter).(4) Amendment of trust deed: In case of REITs and Infra Trusts, the trust manager shall amend the trust deed to complete the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8332