Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company
Bangkok, 2 September 2016 ? In preparing the workforce for their retirement, the SEC is encouraging employers from both public and private sectors to support their employees? retirement savings
wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank
unit holders.Furthermore, SEC will launch an online submission channel for the convenience of the business providers rather than the usual CD submission, as well as a mean to alleviate burdens and the
Bangkok, 17 November 2016 ? The SEC has filed a criminal complaint against Mr. Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH), and two
Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to
loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were