who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...
Bangkok, 2 October 2017 ? The SEC has ordered Pace Development Corporation Public Company Limited (PACE) to clarify the information regarding the company's joint venture agreement with three
Bangkok, August 28, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Sutthasinee Sitti on account of misappropriating client assets
Bangkok, September 17, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Siwakorn Trakunsom on account of committing dishonest acts
assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht: 1
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Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients