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
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
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
Bangkok, March 13, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Yongyuth Ngamkaiwan and Vorapin Ngamkaiwan for using inside information to sell Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way th...
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
Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were...