who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...
Bangkok, 2 October 2017 ? The SEC has ordered Pace Development Corporation Public Company Limited (PACE) to clarify the information regarding the company's joint venture agreement with three
market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
products (except for hedging purpose), multi-class unit trusts, complex return payment nor dissolution of fund before maturity. In applying for auto approval, asset management firms are required to provide a
Agreement - SEC API Developer Portal ขอเชิญร่วมตอบแบบประเมินความพึงพอใจ ขอเชิญร่วมตอบแบบประเมินความพึงพอใจการใช้บริการชุดข้อมูลเปิด (SEC Open Data Services) เพื่อการปรับปรุงการให้บริการให้ดียิ่งขึ้น
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel