guidelines. Taking into account that she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.  

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5

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