SEC Search

รวยด้วยหุ้น กองทุน ออมให้ถึงล้านเหรียญ, FXXJ กองทุนหุ้นจีนสร้างมั่งคั่ง, Private Fund กองทุนหุ้นจีน A-Share - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 20/05

http://market.sec.or.th/public/idisc/th/Viewmore/invalert-det?CaseID='013&CaseYY=2563

SEC advises NEWS shareholders to vote on share acquisition and right to claim in the loan of Wealth Ventures as IFA considers the acquisition reasonable but the purchase price inappropriate

unreasonable and thus the shareholders should not approve the share acquisition. SEC strongly advises that NEWS shareholders study the matter in detail, exercise the voting right to protect their own interest

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8295

แนวทางการแก้ไขปรับปรุงประกาศ ว่าด้วย การเสนอขายหลักทรัพย์ที่ออกใหม่ พร้อมกับการทำคำเสนอซื้อหลักทรัพย์เดิมของบริษัทจดทะเบียน (share swap)

https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=131

http://market.sec.or.th/public/idisc/th/Viewmore/invalert-det?CaseID='0013&CaseYY=2563

แบบฟอร์มหัวจดหมายของธนาคาร(ภาษาอังกฤษ)

www.bangkokbank.com Ref.: OP.435/2019 12 December 2019 Re: Entering into a Share Purchase Agreement for the Acquisition of a Majority Shareholding in PT Bank Permata Tbk To: President The Stock Exchange of Thailand

https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201912/19120527.pdf

SEC reveals inappropriate behavior of three investment consultants for not taping clients? trading orders

.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4616

SEC suspends an investment consultant for not taping investment advice and client's orders

trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4837

SEC sanctions four capital market personnel for incomplete trading order records

suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5315

SEC sanctions three investment consultants for incompletely keeping evidence of clients' trading orders

suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior. The SEC found from its routine inspection that {A

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4652