According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht.  The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, received an award plaque on behalf of the SEC, in recognition of the organization’s contribution to the network of support for children under care of the Ministry of Social Development and Human Security (MSDHS). The award was presented by MSDHS Minister, Mr. Varawut Silpa-archa, at the National Children’s Day 2024 event on 13 January 2024 at the Department of Social Development and Welfare Building. On this occasion, the SEC also participate...

The Stock Exchange of Thailand The Meeting of Board of Directors of WHA Utilities and Power Public Company Limited (“Company”) No. 8/2017 on 29 September 2017 passed a resolution approving the Company

.;    (2)  Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that

?FILEID=dat/news/201805/18049764.pdf 1 ( Translation ) Ref. NEP146-2017 October 25, 2017 Subject : Resolutions of the Board of Directors approving the capital decrease, the capital increase, the allotment

digital assets or ICOs have applied for or obtained an approval from the SEC. Thus, anyone receiving information or solicited to https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7435 SEC issues rules

digital assets or ICOs have applied for or obtained an approval from the SEC. Thus, anyone receiving information or solicited to https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7435 SEC issues rules

have applied for or obtained an approval from the SEC. Thus, anyone receiving information or solicited to https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7435 SEC issues rules on management of

aware that none of the three digital assets or ICOs have applied for or obtained an approval from the SEC. Thus, anyone receiving information or solicited to https://www.sec.or.th/EN/Pages