business operators licensed as wealth advisor will be disclosed at the same time. Relevant rules are available for download at (http://capital.sec.or.th/webapp/nrs/data/7703s.pdf and http

amendment contains transitional periods to ensure that audit firms would have sufficient time to make necessary preparations. The SEC’s discussions in this regard with the Thailand Federation of Accounting

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

Cement Public Company Limited (SCCC). Khumsup, who at the time was a former executive of SUPER, had an access to the material information by virtue of being assigned by SUPER to contact and coordinate with

incident during the same period of time decide to participate in such legal proceeding. This is convenient because members of a class action do not need to go through each and every step individually, and

intention to conceal the fact and fabricating false evidence.  She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses.   Following a referral from

Public Company Limited, which was a major shareholder of TIP holding 5.49 percent of the total shares at the time, ordered TIP shares to be sold from the account of Thaisri Insurance during 13-28 September

institutional investor or high net worth individual, investment units to be offered for sale must be disclosed on the SEC website and be traded at the same time and on the same day as its home country, except in

services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation

. The SEC, therefore, bans him from securities and derivative business for ten years during the same period of time.