Earlier, the Civil Sanction Consideration Committee resolved to apply civil sanctions on Mr. Suphanan, an IFEC director and chief executive officer, and Mr. Thanawat Chansuwan, who was IFEC director and executive at the time of the offence, on the ground of insider trading. They were ordered to pay civil fines and return any gains from the offence.*Mr. Suphanan, however, sent a letter asking to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 201...
Earlier, the Civil Penalty Consideration Committee resolved to apply civil sanctions against Mr. A for obstructing and failing to set up a board of directors meeting and a shareholders meeting to appoint new directors to fill vacancies while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that Mr. A disobeyed the board of directors’ instruction and refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by...
Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has therefore requested the public prosecutor in writing to file a lawsuit against Mr. Thanawat in the Civil C...
1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market
efficiency of enforcement.The Advisory Committee on Listed Company Monitoring comprises: (1) Secretary-General as Chair; (2) Deputy Secretary-General in charge of corporate finance as member;(3) Deputy
Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related
DSI for its consideration to take further legal action. The allegation shows that the accused are considered to be untrustworthy to perform duties as directors and executives of a securities issuing
Bangkok, 8 December 2023 – The Securities and Exchange Commission (SEC) has announced the appointment of the Deputy Secretary-General in charge of Corporate Communication Division to serve as the SEC
The allegation is a consequence of various complaints lodged in relation to the increased debt of THB 26,000 million following EARTH’s submission of the financial statement for the first quarter
Bangkok, 25 October 2023 – The Securities and Exchange Commission, Thailand (SEC) has appointed Mrs. Sittasri Nakasiri as Assistant Secretary-General – Strategy and Planning Division, in charge of