juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue. Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units
bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
% of net asset value in listed securities on the Stock Exchange of Thailand. Investors are permitted to deduct an actual investment amount, but not exceeding 200,000 baht, from annual assessable income
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the