Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
Bangkok, September 17, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 2,820,000 baht on Ratanachai Phatinavin, an executive of Eastern Star Real Estate Public Company
Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure and fill in the vacancies. All appointments and rotations have become effective since 1 January 2023.The appointments of departmental directors are as follows:1. Mr. Putthimes Thanarersk, Director of the Digital Asset Enforcement Department2. Mrs. Juraiwan Sritiapetch, Director of the Fundraising...
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Facebook page “Manage Mutual Funds” impersonates “BBL Asset Management Co.,Ltd” : Unlicensed securities and derivatives business (Disclosure Date : 02/09/2024)
, through effective enforcement, clear and applicable regulations to enhance competitiveness of all sectors.” Furthermore, the SEC chief aims for the regulatory body to create and deliver value propositions
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 1,500,000 baht on Chakkit Thanavirun, a former executive of Bliss-Tel Plc. (BLISS) for imparting false
Bangkok, August 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,028,563.75 baht on Paiboon Thong-ra-ar for using inside information to sell shares and warrants of EMC Public Company Limited (EMC).With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during October 16-18, 2013, Paiboon, then EMC Managing Director ? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-...
Insurance Public Company Limited (BKI). Following a referral from the Stock Exchange of Thailand, the SEC?s further inspection has revealed that Chai, then chairman and chairman of the executive board of