material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

companies; therefore, shareholders are not involved in the decision making regarding such transaction.The SEC therefore is proposing to amend the rules governing the execution of material transactions and

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...

The SEC received information from the Stock Exchange of Thailand (SET) in October 2024 and later conducted further investigation into an interview given by Mr. Boon Vanasin to a media outlet on 25 September 2024. In the interview, he stated that he and his family had never pledged or used THG shares they held as collateral for loans, either inside or outside the market, as they did not dare to do so because they were major shareholders. However, upon investigation, evidence was found indicating...

material and was used by the SEC in its consideration to ensure that the disclosure in the Filing Form was accurate and complete. Furthermore, ETL also concealed the actual statement concerning the interim

and former directors of EARTH had jointly acted, conspired, permitted, or helped another in making false entries or failing to enter material statement in relation of the debt, for the purpose of