}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that

and their value chains. The site will provide knowledge resources, guidance and the SEC’s activities related to women’s empowerment and gender equality. On this occasion, we would also like to applaud

announced at the ASEAN Audit Regulators Group (AARG)'s 5th annual Audit Inspection Workshop held in Kuala Lumpur from 21 to 22 February 2017. The Workshop also saw AARG embark for the first time, on a long

baht and 500,000 baht, respectively. A fine of 333,333.33 baht was also imposed on Jantharapa for violation of Section 243 (1) in conjunction with Section 244 and Section 243(2) of the SEA and Section 86

, for three months starting from September 1, 2011, and also reprimanded another two investor contacts, (1) {C} and (2) {D} for interfering with client's assets. In case of {A}, the SEC received a report

(UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1

will increase the opportunity for local businesses to have access to financial sources which in turn will not only enhance their competitiveness, but also increase the employment rate and income

client upon the request to take care of the trading account. She also sought assistance from a team member, an investment consultant in the team who was in charge of this client's account, to execute the

to her advice. {C} also failed to record her giving of investment advice and accepting of securities trading orders from many of her clients. {C} admitted that the unrecorded orders were taken via

global market environment. This year we are also celebrating the 20th anniversary and rebranding the SEC identity as a modern regulator and a visionary partner while staying committed to our working