2016, the number of IFEC directors was insufficient to form a quorum as required by law. Wichai, in his role as Chairman of the Board of Directors, called for shareholders? meetings to seek the

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

The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The

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

The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

development. The SEC urged TIA to consider the possibility to become independent investment advisory institute supporting Thai capital market development. The institute could be a center for investor education

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

failure to comply with, Section 26 and is liable to criminal sanction under Section 66 of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a term of two to five years and a fine of