Facebook page "Free Market48" : Unlicensed securities and derivatives business (Disclosure Date : 27/11/2025)
Free Promotional Token (FPT) และ Orientum Plus (ORTP) : Unapproved public offering of digital token (Disclosure Date : 18/02/2020)
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
SEC Secretary-General Ruenvadee Suwanmongkol said: “The free-float criteria are specified by SET with the SEC Board’s approval. They carry a significant importance to the trading liquidity of listed
are available free of charge. _____________________________
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the intention to illegitimately seek benefits from client?s assets. Following the complaint filed by...
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
SEC Secretary-General Ruenvadee Suwanmongkol said: “Giving sufficient useful information on debt securities to investors and the general public is one of our continuing priorities. On 27 December 2020, we launched SEC Bond Check Version 1 to provide investors with more convenient access to important information before making investment decisions. This is part of SEC’s efforts to serve investors in the bond market.” SEC Bond Check Version 2 allows investors and the interested public to se...