Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Bangkok, November 8, 2010 ? The SEC has announced that the tender offer for the purchase of securities of Eastern Printing Plc. (EPCO) via Form 247-4 as collectively submitted by P Plus P Plc. (PLUS
Bangkok, April 4, 2013 ? The Southern Bangkok Criminal Court sentenced Ravi Pattiyawongse to a two-year imprisonment for conducting unlicensed businesses of securities brokerage and dealing under the
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
Securities Commission Malaysia – WFE Dialogue ซึ่งจัดโดย Securities Commission Malaysia โดยรองเลขาธิการ ก.ล.ต. ได้แลกเปลี่ยนความคิดเห็นเกี่ยวกับการนำเทคโนโลยีใหม่ ๆ มาใช้เพื่อเพิ่มความโปร่งใสและศักยภาพของตลาด