not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
of 430 million baht. As a consequence, KC was in default on the payment of 350 million baht on those bills of exchange (B/E) (SEC News No. 2/2018 dated Friday, 5 January 2018). The SEC’s further
supervisor and executive director of KPMG Phoomchai Business Advisory Ltd. which was appointed as a financial advisor for business valuation and preparation of tender offer for de-listing of the said listed
sectors, as well as the financial institutions*. With the opening speeches delivered by Mr. Thalearngsak Petchsuwan, Deputy Permanent Secretary, Ministry of Natural Resources and Environment, Mr. Ronadol
inside information to buy the company's shares. He was subject to a civil penalty of 500,000 baht, as a resultFollowing a referral from the Stock Exchange of Thailand (SET), the SEC conducted further
Bangkok, February 8, 2016 ?? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against Richard Dunston Malpass, a British
“bondholders’ representative,” who serves as a crucial mechanism for safeguarding and advocating for bondholders. The bondholders’ representative is required to comply with the Securities and Exchange
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
debenture crowdfunding,” SEC Assistant Secretary-General added. SEC revised its regulations and drafted notification on crowdfunding by including debentures as one of the securities offered. The