Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

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 services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation have revealed that he confirmed with a customer that the RMF units the customer had bought in 2...

Bangkok, July 4, 2011 ? The Southern Bangkok Criminal Court sentenced Suradej Mookayangkul, former executive director of International Engineering Plc. ("IEC"), on the charge of making false entries in minute of IEC?s board of directors meeting with intention to deceitfully deprive IEC or its shareholders of their rightful benefit, dishonestly violating his duties and causing damage to the usefulness in the nature as being a property of IEC, and acting in order to obtain unlawful gains for himse...

Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The

PICNI?s former executives and other persons, making documents and accounts related to such transactions incorrect and deceptive to others. The evidences indicated that (1) Mr. Theeratchanon Lapvisuthsin

individuals who serve as their directors, executives or major shareholders as it is part of the mechanism preventing persons involved in fraudulent, deceptive or corrupt activities from holding managerial or

capital market. The fraudulent activities include forging licenses and falsely claiming certification of the SEC and official authorities. There were deceptive uses of names and images of market

, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, including not having such offense

accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully