3, 2014 which has been promulgated in replacement of the said two notifications.
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
organized seminars at two other hotels in Bangkok and Chiang Rai Province to solicit investments in a similar manner. Mandawee Tour's misconduct of securities offering in the category of debenture without
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were...
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 related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly us...
Offeror : CP ALL PUBLIC COMPANY LIMITED | Date of submission of the Statement of Intention : 27/06/2013
Offeror : CP ALL PUBLIC COMPANY LIMITED | Date of submission of the Statement of Intention : 02/07/2013
Offeror : CP ALL PUBLIC COMPANY LIMITED | Date of submission of the Statement of Intention : 19/07/2013