communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management

guidelines focus on four key areas, namely PF management, work systems, investment management and complaint handling. The objective is to facilitate flexibility and adjustment in line with the diverse nature

Earlier on 17 April 2018, the SEC filed a criminal complaint against five former POLAR directors, namely, (1) Mr. Yannakorn Warakunrak, (2) Mr. Poonsak Chumchuay, (3) Mr. Asa Ninnad, (4) Mr

therefore imposed a fine of 2,518,646.23 baht. As defendant made confession, the Court commuted the conviction into half to a fine of 1,259,323.11 baht. This case follows the SEC complaint against Apichart

that at this stage, the SEC and the public prosecutor will study the Appeal Court?s judgment for further appeal proceedings.The SEC on August 5, 2004 had filed a criminal complaint on this case with the

a criminal complaint against Wichai with the Department of Special Investigation (DSI) for allegedly misappropriating 179.6 million baht worth of Nippon Pack (Thailand) Plc. (NIPPON) assets

client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading

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, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication