penalties under Section 317/5 of the SEA.The Civil Sanction Committee (CSC) has therefore resolved to impose a civil sanction on the offender, comprising civil penalties, compensations in the amount equal

information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27

Earlier, the Civil Sanction Committee decided to impose civil sanctions on Mr. Surin Banyongponglert in the case where he had sent trading orders of PICO shares in the manner of price manipulation

Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing

offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities

Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM)   โปรดระบุข้อมูลด้านล่าง (Please fill in information below