Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
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
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
SEC has discussed with the Stock Exchange of Thailand (SET), the Association of Thai Securities Companies, and the Investment Analysts Association, to develop a shared approach to revising the
, influence investment decisions of investors, or affect changes in the price of securities. Therefore, by virtue of Section 58(1) of the Securities and Exchange Act B.E. 2535 (1992), the SEC has
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, organized a financial and investment lecture for approximately 120 high school students at Amnuay
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks
accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities
The Securities and Exchange Commission (SEC), in collaboration with the National Savings Fund (NSF), organized comprehensive financial lectures for students across four regions of Thailand in 2023