protection for safety of his/her life and property. SEC invites public comments on the proposed witness protection measures that will be added into 4 Acts* administered by SEC. The Agency will, in addition
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
Mr. Phuchphong Nodthaisong, Deputy Permanent Secretary of Ministry of Digital Economy and Society (MDES), as acting Secretary General of Personal Data Protection Commission (PDPC), said: “The
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
Reporting Person : - | Type of securities : - | Date of reporting obligation : 03/08/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 27/02/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 01/06/2005
Reporting Person : - | Type of securities : - | Date of reporting obligation : 22/03/2004