Facebook Page ชื่อ Manage future trade : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
of Section 317/11 of the Securities and Exchange Act. The Civil Sanction Committee has considered it is appropriate to enforce a civil sanction against the three offenders to whom the SEC notified of
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Facebook page “Manage Mutual Funds” impersonates “BBL Asset Management Co.,Ltd” : Unlicensed securities and derivatives business (Disclosure Date : 02/09/2024)
Bangkok, 15 September 2017 ? The Civil Sanction Committee has imposed a civil sanction on Mr. Ravi Lohtong, director and executive of Siam Sport Syndicate Public Company Limited (SPORT), for using
) B.E. 2559 (2016), on three counts. The Civil Sanction Committee has resolved to instruct the SEC to impose civil sanction on the three offenders, as follows: (1) Warot was subject to pay a civil penalty
Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry
Bangkok, 18 January 2019 ? The SEC has imposed civil sanction on three offenders for manipulating the share price of Bangkok Airways Public Company Limited (BA), namely (1) Mr. Prasert Prasarttong
assistant and supporter to the commission of the offenses and subject to the penalties in conjunction with Section 86 of the Penal Code. The Civil Sanction Committee has resolved to instruct the SEC to