Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
เพื่อยกระดับการกำกับดูแลให้ยืดหยุ่น ชัดเจนขึ้น สอดคล้องกับแนวทางสากล เสริมสร้างความโปร่งใส สนับสนุนเสถียรภาพความยั่งยืนของอุตสาหกรรมกองทุนรวมในระยะยาว
Zipmex to rectify operations in compliance with the specified ruleswithin 15 days,” released on 13 January 2024 - SEC News No. 30/2024: “SEC orders temporary suspension of Zipmex services as
. (Zipmex) for the Minister of Finance’s consideration. Meanwhile, as long as Zipmex continues its business operations, the company is subject to business suspension and is required to return assets to its
lawsuit against those six offenders in the Civil Court for imposition of the maximum applicable statutory penalties comprising a fine of 68,456,936 baht plus interest, a suspension of trading in
incurred by the SEC), a suspension of trading in securities or entering into derivatives contracts for a period of 14 or 30 months (as the case may be) and a bar from serving as directors or executives in
the final court decision for the offense under (11), regardless of whether the court has suspended the sentence, unless such person has been released from the penalty or has completed the suspension
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
report submission to 26 April 2025, released on 27 March 2025: https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11653&NewsNo=71&NewsYear=2025&Lang=EN