Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's authorization, consequently causing damage to the client. She was working for Globlex Securities Co.,...

Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

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aforesaid conducts of the authorized directors of Lederer (Thailand) Company Limited was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of

through buying and selling business include: หน้า 2 ของ 3 Solar panels and equipment, the company conducts business through ACC Infra Co., Ltd., a subsidiary company, holding 100% of the shares. The company

issues for the SEC Board?s further consideration: (1) the necessity for amendment to the SEC Governance and Code of Conducts; and (2) the necessity for prohibiting SEC Board members from holding positions

courses on good corporate governance to promote ethics, morals and codes of professional conducts for utmost benefit of the clients. Vorapol added that ?Personnel in securities and derivatives businesses

11,228 15,280 13,789 2. Financial business and personal loans J Fintech Company Limited (“JFintech”) conducts of loan business under the brand "J Money", the operating results in the 2018 was loss mainly

trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders

jointly with Thanjira repaid debt to Tisco Asset Management Co.,Ltd. From the said facts, Surasak was considered as jointly with Thanjira engaging in dishonest conducts. The aforesaid actions were in