Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and derivatives trading within the scope of investment pre-determined by their clients. In any...
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
) Boon Prasitsamrit for manipulating share price of Thai Yuan Mtal Plc. (TYM); presently known as The Steel Plc. (THE). With the referral from the Stock Exchange of Thailand, the SEC probed into the case
Arnokkaeo for manipulating the share price of Yong Thai Public Company Limited (YCI).Following the referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation revealed that Siwasit had
Bangkok, November 18, 2015 ? The SEC Settlement Committee has imposed fines on Bordin Sangarrayakul and Noparat Jongyin for manupulating the share price of PYLON Public Company Limited (PYLON), and
Limited (YCI) share, namely (1) Mr. Yangyong Intarasongkraw, (2) Mrs. Woranan Lertkulthum, (3) Mr. Bhanurak Saengaram, (4) Mr. Chanya Leerungruangporn, and (5) Ms. Kornyachath Yodapikul. Their offence was
Bangkok, February 17, 2016 ? The SEC is seeking public comments on proposed amendments to the initial public offering (IPO) rules. The amendments aim to facilitate sufficient share distribution to
manipulating share price of Permsin Steel Works Plc. (PERM). With the referral from the Stock Exchange of Thailand on irregular trading of PERM shares by a group of persons, the SEC probed into the case and