SEC Search

criminal complaint with the Economic Crime Suppression Division against {A} and {B} and the parties involved on account of being co-principals in operating derivatives business without approval. Due to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8080

SEC penalizes an investment consultant for 5 years due to duty performance without loyalty, causing damage to clients

coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8075

SEC penalizes three former investment consultants for failing to properly discharge their professional duties with loyalty, responsibility, and care.

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8817

SEC revokes approval of executive of asset management company for failing to perform duties with loyalty and professional due care, including negligence of duties

According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8073

SEC penalizes securities company executive for taking the company’s important information and business secrets without approval

important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8764

Disclosure Business News

Disclosure Business News สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 19:20 Disclosure Business News Disclosure Business News ( 0 record(s) found) Date Time Heading

https://market.sec.or.th/public/idisc/en/viewmore/setnews?searchSymbol=AEC

Disclosure Business News

Disclosure Business News สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 19:14 Disclosure Business News Disclosure Business News ( 0 record(s) found) Date Time Heading

https://market.sec.or.th/public/idisc/en/viewmore/setnews?searchSymbol=DCORP

Disclosure Business News

Disclosure Business News สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 19:16 Disclosure Business News Disclosure Business News ( 3 record(s) found) Date Time Heading

https://market.sec.or.th/public/idisc/en/viewmore/setnews?searchSymbol=DTC

Disclosure Business News

Disclosure Business News สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 19:05 Disclosure Business News Disclosure Business News ( 0 record(s) found) Date Time Heading

https://market.sec.or.th/public/idisc/en/viewmore/setnews?searchSymbol=EIC

Disclosure Business News

Disclosure Business News สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 19:01 Disclosure Business News Disclosure Business News ( 0 record(s) found) Date Time Heading

https://market.sec.or.th/public/idisc/en/viewmore/setnews?searchSymbol=EPCO