Bangkok, 13 December 2016 ? The Criminal Fining Committee has imposed a separate, equal fine, totaling at 5,917,125 baht, on five joint principals in the manipulation of the Yong Thai Public Company
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
capacity building; (iv) amplifying communication and awareness; and (v) strengthening co-operation and co-ordination. The meeting also acknowledged the progress of ACMF working groups on implementation of
investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC in
their home jurisdictions as Qualifying ASEAN Collective Investment Schemes to date, five of which have been successfully approved and launched in a host jurisdiction. The ACMF commended the working group
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
sustainable finance whereby the capital market facilitates capital allocation to support economic activities that take into account environmental, social and governance (ESG) issues, and (5) To use technology
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Bangkok, November 26, 2014 - The SEC revealed that the Settlement Committee fined {A} {B} and {C}, as principal, along with two aiders and abettors, namely {D} and {E} for using inside information to purchase S.P. Suzuki Plc. (SPSU) shares for their own and other persons' benefits. The total fine was 12,831,738.66 baht.With the referral from the Stock Exchange of Thailand (SET), the SEC probe found that during April 8 - June 15, 2010, {A} {B} and {C} had purchased SPSU shares through securities...