the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the
fundamental development of ecosystem in the Thai capital market to enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives
Woraphant, Preeya and Sasipas whereby the three offenders must pay a separate civil penalty, compensate for the benefits received from committing the offenses and reimburse for the investigative expenses
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as director of UVAN, knew inside information about the significant increase of company’s profits in the fourth quarter of 2017. She, then, bought UVAN shares during 27 December 2017 - 22 February 2018 in the total amount of 1,286,700 shares using securities trading accounts of Amornrat and Walailuk bef...
Bangkok, 8 January 2021 – SEC Secretary-General Ruenvadee Suwanmongkol has announced that the SEC Board Meeting No. 1/2564 dated 7 January 2021 passed a resolution appointing three members of the
aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA. The Civil Sanction Committee has resolved to authorize SEC to initiate civil
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above