Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then

The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC) and the Thai Bankers’ Association, organized the Financial

Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the

Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve

offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a

management of One for his own benefit with the client’s consent; (2) he personally signed client’s redemption order form for mutual funds; and (3) he changed client’s contact address to the address of One

Miss Areewan Aimdilokwong, Assistant Secretary-General of the Securities and Exchange Commission (SEC), delivered opening remarks at the “Kick Off – AGM Checklist 2026” event organized by the Thai

regulatory oversight in response to future changes. The lectures were delivered as part of the Prep for Fund Manager: Professional Preparation Program for Financial Advisors, Batch 5, organized by KH Academy

assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht:           1