Singapore with 18 and 16 companies, respectively. However, the survey results revealed areas of improvement for Thailand. SEC will cooperate with the Stock Exchange of Thailand, the Thai Institute of

The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as

consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed

Bangkok, 8 August 2023 – The SEC has revealed the imposition of civil sanctions on two offenders, namely (1) Miss Laksana Supsakorn and (2) Mr. Sommart Dhupchinda for purchasing shares of the Tipco

) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then

into their trading accounts but the money was not deposited in the clients? accounts. The SEC?s further investigation revealed that Veerachai had replaced the name of the actual account owner on the

listed company. In light of such suspension order, {X1} Securities is still able to operate other businesses under other licenses granted by the SEC.The SEC?s inspection has revealed that {X1} Securities

Chantanayingyong, SEC Deputy Secretary-General revealed that ?The SEC introduces REITs to facilitate development of fund raising for real estate and real estate investment to be in line with international practice

Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the

Thailand for raising awareness in capacity building and development to be on par with international standards and for supporting the CFA Institute Research Challenge,? revealed SEC Secretary-General Vorapol