without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with
license with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) for further legal proceedings. With reference to clues and the SEC?s findings, the three aforesaid individuals
Bangkok, 18 January 2019 ? The SEC has imposed civil sanction on three offenders for manipulating the share price of Bangkok Airways Public Company Limited (BA), namely (1) Mr. Prasert Prasarttong
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
Bangkok, 10 January 2017 ? The SEC has announced the three-year strategic plan (2017-2019), which focuses on driving the Thai capital market competitiveness with financial technology. The plan aims
the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the
fundamental development of ecosystem in the Thai capital market to enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives
Woraphant, Preeya and Sasipas whereby the three offenders must pay a separate civil penalty, compensate for the benefits received from committing the offenses and reimburse for the investigative expenses
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as director of UVAN, knew inside information about the significant increase of company’s profits in the fourth quarter of 2017. She, then, bought UVAN shares during 27 December 2017 - 22 February 2018 in the total amount of 1,286,700 shares using securities trading accounts of Amornrat and Walailuk bef...
Bangkok, 8 January 2021 – SEC Secretary-General Ruenvadee Suwanmongkol has announced that the SEC Board Meeting No. 1/2564 dated 7 January 2021 passed a resolution appointing three members of the