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

to buy securities for her friend, who was in the process of opening a securities trading account, through assistance of one of her clients. After the trading account was opened, her friend asked for

and considers the transaction is appropriate and beneficial to the company.The transaction is classified as a related party transaction and an asset acquisition; owing to the fact that one of DEMCO?s

) Public Sector Organisation of the Year.   This year, the Smart Office Project was one of 522 nominations from 17 countries in Asia Pacific and one of the five entries in both Technology Leadership and

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

17 paragraph one, Section 26, Section 57, Section 66, and Section 94 of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018). The defendant's conduct constituted a single act violating

); 2.2 The licensing system for business operators; 2.3 One For All Reporting System (OFAR), for example, the bondholders from securities registrars; 2.4 The Enterprise Content Management System (ECM) of

could be attributed to increase in impairment loss on loans and debt securities in line with non-performing loans to total loans, which remained at a high level. Net fees and service income – one of

in general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 11 If any one of the following characteristics is met, the SEC

variety of different business models. The IOSCO CRA Code does not indicate a preference for one business model over another, nor are the measures described herein designed to be used only by CRAs with large