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
Complex Type 2 Investment Consultant