Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

Earlier, the SEC instructed KWI to conduct a special audit and submit the special audit report by 25 May 2025.* The company later requested a deadline extension to 31 August 2025 to cover the entire

discussion, the SEC Secretary-General shared the SEC’s perspectives on ongoing efforts to elevate and develop the capital market as a whole. She also highlighted the SEC’s role in building trust and

regarding securities trading. The case was subject to a civil sanction, was filed with the Civil Court, and was the first legal case adjudged by the Court’s final decision. The whole process, from the

plan to promote proper financial reporting ecosystem recently approved by the SEC Board. Aiming to boost quality of financial reporting system, the plan will emphasize on the whole process starting from

with power in whole or in part in the management of the company 5. changing in credit rating of the issuer’s debt securities 6. expanding the amount of debt securities to be offered under the MTN Program

and concrete direction for moving the whole ecosystem involving issuers, investors, disclosure of information, development of indices, capacity building, and inter-agency coordination. The forum

relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized