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
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
Bangkok, 10 February 2017 ? The SEC has extended the deadline for submitting the special audit report of K.C. Property Public Company Limited (KC) to 8 March 2017.Earlier, the SEC ordered KC to have
Limited (TIES*), and his aider Ms. Ornsiree Chinkamtornwong, for using inside information to sell the company?s shares. Following the SET?s referral, the SEC?s further investigation revealed that Assavin
3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute
businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
Bangkok, 14 August 2018 ? The SEC has announced selection process for next Secretary-General. Candidates must have qualifications and shall not possess any prohibited characteristics. The SEC Board's