complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
any case, the company has no experience in running this kind of business. Although, entering into relevant agreements could facilitate the NPL management and collection business, given the overall
enter into five major transactions worth 14,445 million baht to acquire ordinary shares and increase capital in a company that plans to operate a terrestrial solar cell power plant project. The
avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
loans and expand ECL business.PFS and ECL have agreed to enter into a business alliance contract whereby ECL is required to pay PFS a monthly compensation fee of 600,000 baht, accounting for the total
interested in investing in various types of assets, both local and international. The above amendments have taken such fact into consideration along with comments and recommendations from business sectors and
management companies on practicing front running scheme, the SEC probed into the case and found that Sopana, who was K-Asset Vice President from November 2009 to November 2010 and SCBAM Senior Executive Vice
) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized