December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

Earlier, the Audit Committee of CMO had informed the SEC of the issues raised by the auditor from the audit of the company’s financial statements as follows: an irregular withdrawal of advance

making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a

investment consultant for six months and one month, respectively, starting from December 25, 2015.  The SEC's further inspection has revealed several defective core work systems of AEC, especially the Know

Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core

Bangkok, 11 January 2024 – Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), revealed that during the SEC Board Meeting No. 1/2567 convened today, the

Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing

Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for

Bangkok, February 24, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the SEC Board approved to prescribe a depositary receipt (DR) as a security under the Securities and Exchange