The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in
. As the said four alleged offenders declined to enter the settlement procedure, the SEC therefore filed the criminal complaint against them with the DSI for further legal proceedings. In any case, the
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
Exchange Act B.E. 2535 (1992) in conjunction with Sections 83 and 86 of the Penal Code. As {A} {B} {C} {D} and {E} declined to enter the settlement procedure, the SEC therefore filed criminal complaint
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
and General Administration Department, the Human Resources Department, and the Organizational Risk Management and Governance Development Department. Her appointment will become effective on 16 May
Deputy CEO; (3) Suchit Rungcharoenchai, Ex-TUCC Director, Deputy CEO, and CFO; (4) Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director; (5) Suttirat Sewee, TUCC Director
should solve the problem immediately for the best interest of the company and its shareholders; one option is to hold a shareholders? meeting based on a lawful procedure and method, as soon as possible to