Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

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

The Securities and Exchange Commission (SEC), represented by Mr. Paiboon Dumrongwaree (left), Assistant Secretary-General, extended the SEC congratulations on the Legal Execution Department (LED)’s

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, 9 October 2017 ? The SEC and the Legal Execution Department (LED) have signed two memoranda of agreement (MOA) for mutual cooperation and information sharing, at the SEC Building today.The

On December 28, 2018, SEC together with the Legal Execution Department and the Department of Legal Execution, Office of the Attorney General, signed a Memorandum of Understanding for the benefit of

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

Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing

Miss Tongjai Jidjaroonsawat During October 2019, Miss Tongjai Jidjaroonsawat while being a Vice Accounting Supervisor of Hwa Fong Rubber (Thailand) Public Company Limited (HFT), knew or possessed the

Establishment of Mutual Funds and Execution of Agreements for Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 2)