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...
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
Bangkok, 6 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Jajjai Dhammarungruang and Ms. Benjamas Dhammarungruang, for using inside information to sell shares of
Bangkok, 6 June 2018 ? The SEC has imposed civil sanction on Mr. Jajjai Dhammarungruang, Vice President and Executive Director of Modernform Group Public Company Limited (MODERN), for using inside information to sell the company's shares through the trading account of Ms. Benjamas Dhammarungruang. Both offenders paid civil penalties and compensation for the received benefits, at the total amount of 2.58 million baht. According to the referral from the Stock Exchange of Thailand (SET) and the...
Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly us...
In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a better understanding of climate risks so that they can combine their knowledge and relevant available information to enhance their capability to deal with climate change; (2) to make asset management companies, as an institutional investor, understand the risks and effects of climate change on b...