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

Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Chai Sophonpanich for disclosing inside information for other persons to purchase shares of Bangkok

Bangkok, March 16, 2016 ? The Criminal Fining Committee has fined Somyos Anantaprayoon for dessiminating news that may have led other persons to understand that the share price of WHA Corporation Plc

Bangkok, March 16, 2016 ? The Criminal Fining Committee has fined Pichet Boonyapakdee, a former executive of M-Link Asia Corporation Public Company Limited (MLINK), for making a statement that was

Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical

allowing to invest not less than 65% of net asset value in listed securities on the Stock Exchange of Thailand and the notification on waiving fees for the application and registration of such funds for

Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed  revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include

at providing investors with information disclosure closely similar to that prepared by Thai companies while not being too burdensome for foreign firms raising fund in Thailand.  The consultation paper

Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material

According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as