The suspension was in connection to NMG’s submission of the financial statements for the year 2017, wherein the overstatement of revenue and accrued income in the financial statements for the year
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมงานสัมมนา “An Accelerating Implementation for Climate Strategies” จัดโดย ERM (Environmental Resources Management) ภายใต้หัวข้อ
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
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
Limited (ESTAR) for insider trading.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during February 24-28, 2014, Ratanachai had used another person?s
SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek