PT Millennium Penata Futures, Ascot Global Trading Ltd., and J.R.A. Business Center Co., Ltd. Also named in the complaint are two related persons, namely Arthiphant Thongchandr, as an accomplice with

Bangkok, June 20, 2007 ? The SEC issued suspension orders onto two investor contacts (marketing officers) for acting in contravention of the standards of conduct as prescribed by the SEC Notification

Bangkok, December 4, 2012 - The SEC suspended {A} of Finansia Syrus Securities PLC for four months and 15 days; and also suspended {B} of Hua Seng Heng Gold Futures Co., Ltd. for three months, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf and then inform the client afterward. {A} admitted that her client had authorized her to help adjus...

Bangkok, August 4, 2011 ? In the meeting no. 8/2011 on August 4, the SEC Board resolved to appoint two governors of the Stock Exchange of Thailand (SET) to replace those whose term has ended.  The

Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with

3, 2014 which has been promulgated in replacement of the said two notifications.  

Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities underwriting will also be revised in responsive to current circumstances.  The consultation...

property rights over two coal mines in Indonesia, which EARTH had acquired from exchange of the company group’s assets at an approximate value of 24 billion baht. In this regard, EARTH failed to proceed

Bangkok, September 5, 2013 ? In the meeting no.8/2013 on September 5, 2013, the SEC Board resolved to appoint two governors of the Stock Exchange of Thailand (SET), namely Satit Limpongpan and