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
Thailand (SET), the SEC?s further inspection has revealed that on 3 November 2014, Pichet, then director, executive director and managing director of accounting and finance of MLINK, reported to the SET a
Limited (SUPER) shares.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further inspection has revealed that Khumsup took advantage of the material information, which had not been
Group Securities Plc., the SEC's probe revealed that with a view to speculation, {C} and {D} jointly purchased PAO shares off-exchange before PAO shares were allowed to resume trading on-exchange. They
deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned
PHILLIP Securities (Thailand) Public Company Limited Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned
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