Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
derivatives business.Vasant Thienhom, SEC Deputy Secretary-General, said that "Following suspicious report from investors, the SEC's probe revealed that {X1} Co., Ltd. and {A} held themselves out as gold
downloaded from May 27, 2025 onwards via the websites of DCCE, BOT, SEC, and SET, and other Board members. Other access channels will be announced in the future.In addition, the Board will co-organize a
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank account for receiving the B/E transfer
arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank
addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding
Bangkok, September 24, 2013 ? The SEC jointly with 13 alliances today signed a memorandum of understanding (MOU) to implement the ?Financial Literacy: Road to Thailand?s Prosperity? project which
proceeds in accordance with the disclosed purposes and timeframes. Where an issuer intends to use the proceeds in a manner different from that previously disclosed, the issuer must complete the process for