account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

) (SEA) in conjunction with Section 83 of the Penal Code. Komgrich as aider or abettor was also named in the complaint for violating Section 312 in conjunction with Section 315 of the SEA. On December 29

financial statements by May 27, 2015. AIE was also required to clarify the auditor?s inquiries on cost of sales and inventories by May 12, 2015. The SEC received AIE audit committee report concerning the

. This will not only build Thai capital market with a solid foundation for sustainable growth but will also turn it to be a regional financial connector for emerging economies.The 2014 inspection results

corporates seeking secondary listings; and the ASEAN Disclosure Standards to facilitate multi-jurisdiction offerings of equity and plain debt. The ACMF has also worked to profile ASEAN as an asset class

client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of

fund scheme is not allowed.  In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all

another person.  Further investigation revealed that similar dishonest acts had been committed earlier as Atchima had also taken similar exams for Laddawan, Orapin, {A} and other persons at the total of 15

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed

fees during February 1, 2000 - July 26, 2001. Their behaviors also indicated defrauding and deceiving the public by disseminating false information and concealing essential information through their