a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share

investment solicitation, the solicator needs to obtain a proper securities business license. The SEC lists of licensed and approved persons are available at www.sec.or.th. For inquiries or reports of leads or

of Special Investigation (DSI) for manipulating the share price of TWZ Corporation Plc . (TWZ) during the following periods: (1) September 28 to October 26, 2007, (2) April 28 to May 15, 2008, and (3

to Thai capital market as stated in the Master Plan for Capital Development approved by the Cabinet and the SEC?s strategic plan for 2010-2012.The SEC will push forwards the following aspects, in

Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after monthly SEC Board?s Meeting No.5/2011 that the SEC Board at its meeting No. 5/2011 has approved, in principle

regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not

renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international

, Investment Banking Club and participating approved auditors gear ?Pride of the Province III?, aiming to promote knowledge on capital market and fund raising to businesses nationwide. The project also supports

of directors has approved a 20,000 baht registration fee exemption and a 10,000 baht discount for annual fee for new bond issuers participating in the project and issue long-term bonds within this year

, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015