Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other
Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East Engineering Plc. (IFEC) in contravention of the SEC regulations on standards of conduct, effective from December 31, 2011. {A}, an investor contact of KGI Securities (Thailand) Co., Ltd., is suspended for two years for his assistance in the FOCUS share price manipulation by providing trading accounts,...
and concrete direction for moving the whole ecosystem involving issuers, investors, disclosure of information, development of indices, capacity building, and inter-agency coordination. The forum
(Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 28 August 2020.. However, Mr. Lertchai failed to prepared and disclosed the
in securities holdings (Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 7 July 2020. However, Mr. Tanon failed to prepared
, namely: Mr. Jittkasaem Kunchayangkul, Mr. Kasaemson Kunchayangkul, Mrs. Luckana Jantem and Miss Supaporn Saikham, and involving in financial transaction concerning the trade of EARTH share and EARTH-W4.
2026), the SEC has determined that the matter does not constitute a case involving special necessity or urgency as prescribed by law. Accordingly, the SEC has extended the public hearing period to 30
Center (PCT). The meeting discussed the operational approaches of the Anti‑Cyber Scam Center in addressing mule accounts, including cases involving the use of securities companies to channel or transfer
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well