Bangkok, August 7, 2008 ? The SEC imposed administrative sanctions on two investor contacts for their misconducts in contravention of Clause 11(2) of the SEC Office Notification No. SorKhor. 15/2548
Bangkok, February 20, 2013 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against three unlicensed derivatives business operators, namely
Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with
Bangkok, December 4, 2012 - The SEC suspended {A} of Finansia Syrus Securities PLC for four months and 15 days; and also suspended {B} of Hua Seng Heng Gold Futures Co., Ltd. for three months
Bangkok, June 20, 2007 ? The SEC issued suspension orders onto two investor contacts (marketing officers) for acting in contravention of the standards of conduct as prescribed by the SEC Notification
Following the discussion with TFAC on 13 March 2020, SEC submitted a letter to TFAC on 17 March 2020 to propose an issuance of accounting guidelines in response to the COVID-19 situation that
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
three months on account of using a client?s account for the benefit of oneself and others. Revocation ? Kunakorn Karnchavakul (former names ? Rachata or Worrawit Sertpannuk), former marketing officer of
in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to