Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
Bangkok, July 21, 2014 ? The SEC extended the deadline for submitting Vintage Engineering Plc. (VTE)?s audited/reviewed versions of 2013 and Q1/2014 financial statements to October 28, 2014
Bangkok, June 6, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its 2013 and Q1/2014 financial statements due to limitation on auditors? audit/review scope, respectively. VTE is
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
Bangkok, June 8, 2016 ? The SEC is urging the shareholders of Vintage Engineering Public Company Limited (VTE) to study the proposed contract on the construction of a solar power plant for GEP
Bangkok, June 21, 2016 ? The SEC is seeking public comments on a proposed revision to the annual fee rates of intermediaries in the categories of securities business, derivatives agent, asset
derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and