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According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7413

SEC penalizes an investment consultant for accepting an investor’s assignment to make trading decisions and fabricating that certain trading orders are sent by the investor

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8167

Director Responsibilities Steering Group

The Office of Securities and Exchange Commission (SEC) appointed ?Director Responsibilities Steering Group? to follow up practices and efficiency of directors of listed companies. This is expected to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=37

Investor Alert : Facebook page "CJ Group" impersonates “Carabao Group Plc.”

Facebook page "CJ Group" impersonates “Carabao Group Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 25/07/2024)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=1207&CaseYY=2567

Investor Alert : EBC FINANCIAL GROUP

EBC FINANCIAL GROUP : Unlicensed securities and derivatives business (Disclosure Date : 17/09/2024)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=1821&CaseYY=2567

Financial Statement - : KNM GROUP BERHAD

KNM GROUP BERHAD | Q1/2017

http://market.sec.or.th/public/idisc/en/FinancialReport/FS-0000025394

Financial Statement - : KNM GROUP BERHAD

KNM GROUP BERHAD | Year 2016

http://market.sec.or.th/public/idisc/en/FinancialReport/FS-0000025394

Microsoft Word - hearing group limit _2_.docx

Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th

https://capital.sec.or.th/webapp/phs/upload/phs1231748058Ornor3_2551.pdf

Company Profile - OISHI GROUP PUBLIC COMPANY LIMITED

Company Profile - OISHI GROUP PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 May 2023 00:39 Company Profile OISHI GROUP PUBLIC COMPANY LIMITED Please

https://market.sec.or.th/public/idisc/en/companyprofile/listed/OISHI

Company Profile - TAKUNI GROUP PUBLIC COMPANY LIMITED

Company Profile - TAKUNI GROUP PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 May 2023 00:44 Company Profile TAKUNI GROUP PUBLIC COMPANY LIMITED Please

https://market.sec.or.th/public/idisc/en/companyprofile/listed/TAKUNI