issued under Paragraph 1 and Paragraph 2 of Section 35 of the Emergency Decree. Therefore, pursuant to Paragraph 3 of Section 35 of the Emergency Decree, the Minister of Finance has revoked Zipmex’s

According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval period. Additionally, the company failed to prepare and submit reports on its information technology systems to the SEC within deadline. Therefore, Longroot was deemed to have failed to comply with the regulations as specified by the SEC and was unable to rectify all deficiencies in order to resu...

company’s securities business license, Type C, to be revoked.  The SEC Office has important roles of ensuring that securities and derivatives business operators have in place appropriate, reliable, fit and

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

the withdrawn money, to be printed on the fund books of other clients and had the bank’s seal stamped on the fund books or recorded in investment unit purchase transactions on fund books and

positions in a company whose license is denied or revoked, or whose license application is withdrawn, or whose record shows participation in or support of wrongdoings of companies liable to operate a

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

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

insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited