December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
The SEC’s investigation revealed that from the year 2022 to 31 March 2023 (the submission deadline of 56-1 One Report for the year 2022), ALL was involved in two legal disputes: (1) Two cases in the
facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led
in material matters and the SEC had called for clarifications several times.* Later, EARTH hired two more Indonesian appraisers and disclosed the appropriate values of both coal mines at
Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders. Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to
Bangkok, September 17, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 2,820,000 baht on Ratanachai Phatinavin, an executive of Eastern Star Real Estate Public Company
Bangkok, August 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,028,563.75 baht on Paiboon Thong-ra-ar for using inside information to sell shares and warrants of
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater
revealed such wrongdoings, a criminal complaint was filed with the Department of Special Investigation (DSI) against Ratchasak on December 30, 2010. The DSI then proceeded the case and collaborated with the
SEC revealed that, under the situation of the outbreak of COVID-19 which has impacted the business operations, the financial positions and the performance of listed companies and security issuers