Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and

., the fact that {A}, an executive director and a senior executive of the company as well as a financial advisor supervisor approved by the SEC, had serious performance deficiency indicated that the

number of money transfers through the client's ATS saving account to pay for the purchased securities. Moreover, {A} sold the client's securities and use the money for setting-off the payment for the

into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of

behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved

, and LAWI, waste management agreement with the municipality, power purchase agreement with the Provincial Electricity Authority. Besides, based on CWT?s assumption, IFA also found that if investment in

specified internationally accepted accounting standards;- The SEC-approved financial advisor must provide service and advice for three years;- Additional information must be disclosed in the registration

Bangkok, July 21, 2015 ? The SEC has driven forward the plan to develop financial reporting ecosystem to promote financial statement quality and increase the number of auditors to support the growth

provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading

explanation from the company directors and executives so as to have sufficient information for their decision-making.The above transaction must be approved by shareholders with at least three fourths of the