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) concerning the establishment of the Capital Market Development Fund (CMDF). This second consultation focuses on revising the CMDF's objectives to include necessary financial support for the Stock Exchange of
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. However, Surin did not agree to comply with the civil sanctions. Later, on 26 December 2018, the public prosecutor filed a lawsuit against Surin with the Civil Court, as requested by SEC, in order for the Court to impose the civil sanctions on Surin in the Black Case No. Por. 7563/2561 between S...
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 information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27 December 2018, the public prosecutor filed a lawsuit against Suphanan with the Civil Court in the Blac...
SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of evidence, SEC has found that Artit gave investment advice and solicited the general public to invest in securities and derivatives. In so doing, he used the Japhoon Facebook account as an advertising channel for learning courses on securities and derivatives investment and also used a Line group as a ch...
SEC issues a notification of the capital market supervisory board revising rules regarding the establishment of audit committee of securities companies by requiring a securities company keeping its
Earlier, the SEC issued regulations on establishment and management of high-yield bond funds, which have been effective since 1 August 2021. The regulations aim to provide bridge financing for high
Government Gazette since 1 December 2023, officially allowing asset management companies to launch the fund right away. Initially, the SEC has received 22 applications for Thailand ESG Funds establishment