entering into complex financial products or transactions whereby associated risks and return must also be studied. Moreover, assessment in the aspect of appropriateness to investment policy and investment
Engineering Plc. (PLE) shares; as well as Usavadee Srisuchart and Perayuth Nark-In for aiding and abetting Swake?s wrongdoing. With the referral from the Stock Exchange of Thailand (SET), the SEC probed into
condition that they meet all requirements of the governing regulations. The approval will promote entry of new and various financial products into the Thai market and increase investment choices for local
) Boon Prasitsamrit for manipulating share price of Thai Yuan Mtal Plc. (TYM); presently known as The Steel Plc. (THE). With the referral from the Stock Exchange of Thailand, the SEC probed into the case
probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn, Nacharat and Thanatdej (or Jiraphoj) together with other 10 persons (one person died) colluded or agreed to trade
EMM Consulting to use their services and investment advice to tranform his pension fund abroad into investment to gain tax benefits and long-term returns. The investor proceeded accordingly and suffered
their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and
for the clients trading securities under cash balance rule or those transferring high volume of securities into their accounts to increase their credit limit and later transferring such securities out
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that