Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to establish witness protection measures which can be granted during the stage of SEC’s investigation. The measures will provide SEC another prospect to obtain credible information and evidence that will enable the Agency to bring more legal actions, either criminal or civil, against offenders. Whereas...

inquiry official later notified that the acts of the four offenders were not an offense under such Law and therefore returned the cases to the SEC for criminal fining under Section 317 of the SEA.

Bangkok, March 24, 2011 ? The Settlement Committee imposed fines on price manipulation cases involving the shares of TRAF, SAMART, SIM, SAMTEL and RCI, as follows:  (1) Lalana Sirichanyakul

Bangkok, May 26, 2011 ? The Settlement Committee has imposed fines on two price manipulation cases involving the shares of ASCON and KC as follows:  (1) Pattanapong Tanumathaya for manipulating the

Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders.  Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to

market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders.  He

total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social

have refused to comply with the civil sanctions imposed by the CSC. It is thus considered that they have refused to end the cases according to the SEC proceedings.  The SEC has therefore submitted a