Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to investors correctly and completely and without sufficiently notifying or giving information that was import...

orders as well as incompletely prepared such documents as determined by the company.  Thus, the SEC publicly disclosed her inappropriate behavior and recorded such behavior for future reference if breach

Bangkok, 4 March 2024 – The Securities and Exchange Commission (SEC) has released a handbook for convening effective and transparent bondholders’ meetings while promoting the exercise of bondholders

the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and

they incompletely recorded client's securities or derivatives trading orders due to their receipt of such orders via mobile phone. The SEC therefore publicly diclosed their inappropriate behavior and

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives, participated in the Anti-Corruption Day 2024 under the theme “Transparent

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

the SEC Open Data Services – to better serve the users while promoting a transparent, trustworthy and reliable capital market. The event took place in Bangkok on 28 March 2024. 

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