(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients

Bangkok, June 18, 2014 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,159,269 baht on Yongyuth Ngamkaiwan for using inside information to suggest Vorakun Ngamkaiwan sell

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case

Bangkok, June 21, 2013 - The SEC revealed that the Settlement Committee imposed a fine of 500,000 baht on {A} for using inside information to sell shares of {X1}  Plc. With the referral from the

Bangkok, July 24, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved the amendment to regulations governing establishment and management of

for listed companies.The new rule would benefit listed companies that comply with good corporate governance principles when they plan to conduct a PO, provided that certain stipulated conditions are met

trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a

behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements

Bangkok, November 26, 2014 - The SEC revealed that the Settlement Committee fined {A} {B} and {C}, as principal, along with two aiders and abettors, namely {D} and {E} for using inside information to