SEC files criminal complaint against unlicensed securities businesses
Bangkok, March 9, 2015 – The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against Quantum Benchmark Corporation, Globalview Consulting Co.,Ltd.,...
View ArticleSEC joins ThaiBMA to promote bond issuance
The SEC jointly with the Thai Bond Market Association (ThaiBMA) launched “One Step Beyond with Bond Issue” project to encourage the businesses that have never raised fund through bond issuance. Also,...
View ArticleSettlement Committee imposes fine on IT insider trading
Bangkok, March 10, 2015 – The SEC revealed that the Settlement Committee imposed a total fine of 500,000 baht on Pantipa Thirakanokvilai for using inside information to sell shares of IT City Plc....
View ArticleSEC files criminal complaint against ex-PRO executives for falsifying accounts
Bangkok, March 11, 2015 – The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against four persons for jointly falsifying documents causing Professional Waste...
View ArticleSEC files criminal complaint against two offenders for TUCC insider trading
Bangkok, March 13, 2015 – The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Yongyuth Ngamkaiwan and Vorapin Ngamkaiwan for using inside information to sell...
View ArticleSEC launches “Being Money-Wise for the Bright...
Bangkok, March 16, 2015 – The SEC provided a guidance to build up a lifetime of financial security among the Thais through the project called “Being Money-Wise for the Bright Future”. The Project will...
View ArticleSEC suspends a capital investment consultant
Bangkok, March 16, 2015 – The SEC suspended Napat Pipatraaksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with honesty by...
View ArticleSEC and alliances join forces to support roles of right protection volunteers...
Bangkok, March 17, 2015 – The SEC, the Institute of Directors Association (IOD), the Federation of Accounting Professions under the Royal Patronage of His Majesty the King (FAP), the Thai Listed...
View ArticleSEC revokes approval and files a criminal complaint against a financial...
Bangkok, March 18, 2015 – The SEC revoked the approval of a financial advisor supervisor, namely Tanate Kasemsarn of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and...
View ArticleThe SEC discloses an inappropriate behavior and suspends a securities...
Bangkok, March 24, 2015 – The SEC disclosed an inappropriate behavior and imposed a suspension on Apirak Manowilaipong, a former employee of KGI (Thailand) Securities Plc., for failure to completely...
View ArticlePublic hearing on private placement rules
Bangkok, March 25, 2015 – Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be unfair...
View ArticleSEC opens “SEC Capital Market Knowledge...
Bangkok, March 31, 2015 –The SEC opened “SEC Capital Market Knowledge Center,” with interactive multimedia to provide a comprehensive source of financial and investment information along with overview...
View ArticleSEC opens “SEC Capital Market Knowledge...
Bangkok, March 31, 2015 –The SEC opened “SEC Capital Market Knowledge Center,” with interactive multimedia to provide a comprehensive source of financial and investment information along with overview...
View ArticleSEC-DBD jointly promote...
Bangkok, April 2, 2015 –The SEC and the Department of Business Development (DBD) of Ministry of Commerce have jointly promoted “crowdfunding” as an alternative fundraising channel for small and...
View ArticleBounty and gratuity regulations to become effective on 16 April 2015
Bangkok, April 8, 2015 – The Capital Market Supervisory Board approved regulations on payment of bounty to the informer as well as payment of gratuity to the arrestor in cases where fine is imposed on...
View ArticleSEC notifies TIES to rectify 2014 financial statements
Bangkok, April 8, 2015 – The SEC notified Thai Industrial & Engineering Service Plc. (TIES) to rectify its 2014 financial statements. TIES has to file with the SEC and publicly disclose its...
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