Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
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, September 17, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 2,820,000 baht on Ratanachai Phatinavin, an executive of Eastern Star Real Estate Public Company
appoint new directors to fill vacancies while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that Mr. A disobeyed the board of directors’ instruction and
Bangkok, 2 December 2016 ? The Criminal Fining Committee has imposed fines on Mr. Assavin Chingumtornvong, a former chief executive officer of Thai Industrial & Engineering Services Public Company
Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure and fill in the vacancies. All appointments and rotations have become effective since 1 January 2023.The appointments of departmental directors are as follows:1. Mr. Putthimes Thanarersk, Director of the Digital Asset Enforcement Department2. Mrs. Juraiwan Sritiapetch, Director of the Fundraising...
executives of securities issuers and listed companies in accordance with the rules prescribed in the SEC Notification** and consequently is not allowed to hold the positions of director and executive at any