B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty

the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...

คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จึงปรับปรุงหลักเกณฑ์ที่เกี่ยวข้อง เพื่อรองรับกับมาตรการดังกล่าว โดยขยายขอบเขตการลงทุนของกองทุน Thai ESG เน้นบทบาท บลจ. ในการใช้ fiduciary duty เพื่อ

Asia Wealth Securities Company Limited Is being processed. SEC Act S.98(3)  Criminal Complaint Filed with an Inquiry Official Dated 29/12/2022

Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an

requested the selling of SCB Open-end Long Term Fund Dividend 70/30 in a portion that met the minimum of 5 year investment. A bank officer who was not an investment consultant processed the selling of

including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic

derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures