Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due

Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 31/05/2013 - 31/05/2013

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 31/07/2013 - 31/07/2013

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 30/09/2013 - 30/09/2013

Following POLAR shareholders? complaints and the SEC's further investigation, it was found that POLAR, led by Yanakorn as director and chief executive officer and Poonsak as director and chief financial officer, failed to report to the Stock Exchange of Thailand (SET) and the SEC that the company had been filed for bankruptcy by its creditors on 8 May 2017 and later became under the Court's receivership on 3 August 2017. Such material facts were subject to public disclosure within a reasonable t...

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any

lawsuit against them with the Bangkok South Criminal Court.The Bangkok South Criminal Court ruled against both defendants as principals on two counts in accordance with Section 42 Chor (1), (2) of the

organized seminars at two other hotels in Bangkok and Chiang Rai Province to solicit investments in a similar manner.    Mandawee Tour's misconduct of securities offering in the category of debenture without