. Mr. Prasarn Trairatvorakul, Secretary-General, the Office of the SEC said on the occasion of the 10th anniversary of the SEC that ?In the past decade, the SEC aimed at maintaining the capital market
visiting SEC booth at SET in the City 2013. Presented under the theme ?SEC Investment Academy?, the SEC booth this year will be a source of knowledge for new investors. The visitors can start learning their
comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or supplementary to the Thai version thereof
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no effect on businesses of securities
Earlier, the Civil Sanction Committee decided to impose civil sanctions on Mr. Surin Banyongponglert in the case where he had sent trading orders of PICO shares in the manner of price manipulation
The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to