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Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5889

SEC invites public comments on proposal to institute FETCO as juristic person

SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8754

SEC requests the public prosecutor to bring the case to the Civil Court against a person for PICO price manipulation and reports the case to AMLO

According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8582

SEC encourages audit firms in the capital market to disclose firm inspection reports on SEC website

has therefore provided a channel for audit firms in the capital market to voluntarily disclose their latest firm inspection report on the SEC website. This will allow listed companies and audit

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346

SEC suspends an investment consultant for failure to disclose investment risk and trading securities on behalf of clients

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5754

SEC encourages listed companies to disclose effects of COVID-19 on the companies for the interest of investors.

, and the trading prices of securities of listed companies on the Stock Exchange of Thailand. SEC, therefore, encouraged every listed company and security issuer to disclose both positive and positive

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8413

The SEC’s public hearing on the proposed measures requiring digital asset exchange, broker, and dealer to report IT usage capacity and disclose service quality information

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=787

7211se.pdf

disclose to the company and person appointed by the company the information as to whether I have any characteristics indicating untrustworthiness as specified in the Notification of the Securities and

https://publish.sec.or.th/nrs/7211se.pdf

Criminal Complaint Filed with an Inquiry Official Dated 26/02/2018

Mr. Wichai Thavornwattanayong Mr.Wichai Thavornwattanayong, former chairman of IFEC and the authorized person to disclose information through the SET’s information disclosure system (ELCID), failed

http://market.sec.or.th/public/idisc/en/Enforce

รายงานการประชุมคณะกรรมการตรวจสอบ ครั้งที่ 4/2548

means that such signing on those Agreements shall be complete within December 2017. Please be informed accordingly. Sincerely yours, -DR. WICHIT TECHAKASEM- Managing Director Authorized Person to Disclose

https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201712/17102845.pdf