falsely said to be listed on the Stock Exchange of Thailand even though it has already been listed. The clients transferred money to his account for trading such shares, but he did not do so for the clients
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
to Mrs. Sirivipa Supantanet, SEC assistant secretary-general, the SEC has always been supportive of efforts to set up an IFEC shareholders meeting to elect new directors in order to fulfil the legal
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
The Securities and Exchange Commission (SEC) organized a seminar to announce the SEC Strategic Plan for the years 2024-2026. Prime Minister and Minister of Finance, Mr. Srettha Thavisin, presided
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมกับธนาคารพัฒนาเอเชีย (ADB) และสมาคมตลาดตราสารหนี้ไทย (ThaiBMA) จัดงานสัมมนาออนไลน์ หัวข้อ “Recent Development and Trends in ASIAN Bond