Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A} did not record a number of client's securities trading orders. Certain records found in the course...
Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, f...
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities (Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the...
SEC Secretary-General Rapee Sucharitakul said “As of the 2nd quarter of the year 2018, the PVD had been continuously growing, as the number of employers had increased by 788 to a total of 17,866 employers, the number of PVD members had increased by 75,992 to a total of 3,015,729 employers, which can be calculated as an increase of 4.61 percent and 2.85 percent respectively. Furthermore, the net asset value has now reached a total of 1,100,686 million Thai baht, an 8 percent increase in co...
Exchange of Thailand Aapico Hitech Public Company Limited (“the Company”) hereby discloses the resolutions made at the Board of Directors’ meeting No. 98/2019, held on Tuesday, May 14, 2019 at 14:30 Hrs., at
2016. The SEC, therefore, discloses consultation paper is on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2263-6311 or
Bangkok, 12 October 2017 ? The SEC discloses the latest updates on the civil sanction statistics since the means of enforcement became effective on 12 December 2016, with the total of 21 natural and
the 1st quarter of 2017 to the public on 9 May 2017. Later she sold TRUBB shares for profit. In addition Miss Panjama discloses inside information to Mr. Atthawit Thianwiwat, while knows or ought
2018, so Mr. Woraphant avoided a net loss from the decrease of STEC shares prices. In addition Mr. Woraphant discloses inside information to Miss Sasipas Chontong, while he knows or ought reasonably to
Vinfast Auto Parts Company Limited: Joint Ventured of the Company To: The President The Stock Exchange of Thailand Aapico Hitech Public Company Limited (“the Company”) hereby discloses the resolutions made