suspension imposed by the SEC is deemed to have been served. _________________ Note: Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
SEC Secretary-General Ruenvadee Suwanmongkol said: “This seminar is the first opportunity of SEC to welcome SME entrepreneurs from all over the country that are members of the Federation of Thai
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow
as follows. The total revenue of the Company and its subsidiaries in the consolidated financial statements for the year 2017 was equal to 762.85 million Baht, an increase of 148.67 million Baht or
culture conducive to the creation of sustainable benefits for members, the funds and the Thai capital market as a whole.The four provident funds that have announced to implement the I Code are: (1) The