Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment
therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 January 2022. ________________________
Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units
Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses
December 2024 remains a business day for securities companies and derivatives business operators. This adjustment aligns with the holiday schedule of financial institutions and prevents undue cost burdens on
advice in relation to the SEC rules and regulations and disclosable information for a more efficient investor rights exercising process”, said the SEC Secretary-General.The SEC has continuously supported
complaint against the 13 offenders with the ECD for consideration of legal action. Since their wrongdoing is considered a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999), as amended
Bangkok, 23 February 2024 – In reference to the Cabinet’s resolution on 13 February 2024, approving a special holiday for the year 2024, the Securities and Exchange Commission (SEC) has
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 19/11/2019 - 25/11/2019