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
The Securities and Exchange Commission (SEC), through its Transparency Working Group, held a meeting to discuss measures for promoting organizational integrity and transparency in 2025. Mrs
Bangkok, June 16, 2015 ? ASEAN audit regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the
received the full 100 points, the same as last year. The SEC has committed a plan to ensure good governance, transparency, and corruption-free operation, and to enhance the efficiency of operations and
form of cash or short-term securities (Cash Company). In case of posting the Trading Halt (H) and Trading Suspension (SP) sign, trading activities are suspended when an event occurs and impacts decision
technologies to enhance transparency and the efficiency of the capital markets. She also discussed the SEC’s experiences in addressing challenges and opportunities in utilizing technology for capital market
Project aims to enhance national transparency, boost morale, applaud governmental organizations’ exemplary role, and promote corporate value of management based on good governance, professional ethics
a temporary trading suspension of listed securities of PTT Public Company Limited as a result of the Supreme Court of Thailand’s ruling on PTT Public Company Limited to be given on 14 December 2007