SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Chai Sophonpanich for disclosing inside information for other persons to purchase shares of Bangkok
to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. The inside
Bangkok, August 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,028,563.75 baht on Paiboon Thong-ra-ar for using inside information to sell shares and warrants of
trading account to buy 9,000,000 ESTAR shares based on inside information he learnt as the CEO. Such information was about the company?s Q4/2013 performance with significant increase in revenue and profit
Bangkok, June 18, 2014 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,159,269 baht on Yongyuth Ngamkaiwan for using inside information to suggest Vorakun Ngamkaiwan sell
Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a fine of 500,000 baht on {A} for using inside information to purchase {X1} Company shares for his own benefit.With
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information
position as executive in charge of finance and management of STEC, knew or possessed the company’s inside information related to the provision for loss of construction projects, which could lead to
in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating