Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
Bangkok, February 14, 2013 ? The SEC encourages the public sector to raise funds and improve their operations via the capital market, with infrastructure funds, securitized bonds and scripless forms
Association of Securities Companies (ASCO) agree that such research should contain complete, useful information for investors to make sound judgments. Thus, ASCO members are asked to provide such material
SEC Secretary General Ruenvadee Suwanmongkol said that after SEC has initiated the “SEC Caravan to Provincial Areas” project in accordance with the capital market development plan which is in line with the National Strategy in the aspect of providing provincial people with the access to financial services and the capital market, including more understanding of SEC’s roles, in 2019 SEC plans to organize events in four provinces, i.e. Khon Kaen, Nakhon Si Thammarat, Udon Thani and Chiang Mai...
sell tap water to the PWA Panatkikom Branch at the investment value of 237 million baht. To raise fund for this investment, UREKA will raise capital through a rights offering of common shares and seek