Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
seek personal gain from the margin of such offering and trading transactions. However, the clients who had paid for their orders did not receive the purchased shares or such shares did not exist in the
Bangkok, 3 April 2018 ? The SEC applauds four provident funds for their declaration of intent to adopt the Investment Governance Code (I Code) for institutional investors in accordance with
purchase S.P. Suzuki Plc. (SPSU) shares for their own and other persons' benefits. The total fine was 12,831,738.66 baht.With the referral from the Stock Exchange of Thailand (SET), the SEC probe found that
Company Profile - E FOR L AIM PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:15 Company Profile E FOR L AIM PUBLIC COMPANY LIMITED
investment before soliciting customers, especially the elderly aged 60 years old or more and inexperienced investors, to invest in fund products suitable for their risk profile
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
about the TCFD is available at www.fsb-tcfd.org 2. In 2021, the SEC issued the requirement for listed companies to disclose information on their environmental, social and governance actions, including