juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue.  Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years

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

replaced the first two notifications above. (b) Nitchawan violated Clause 23(1) and Clause 23(2) regarding prohibited characteristics of capital market personnel under Clause 31(1) of the Notification No

Bangkok, 6 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Jajjai Dhammarungruang and Ms. Benjamas Dhammarungruang, for using inside information to sell shares of

, and (2) Benjamas paid a civil penalty of 333,333.33 baht. The SEC will submit the total amount of the civil penalties and the compensation to the Ministry of Finance as public revenue. Apart from the

Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical