work of financial advisers. Moreover, in considering material facts regarding the contravention of laws, rules, and regulations, the SEC https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2004.pdf

margin loan transactions are genuinely used for securities trading, considering the facts or substance of such transactions. For example, using margin loans to purchase big lot securities from related

dilution, is crucial for their decision making.    The SEC has therefore ordered MORE to clarify the facts and provide rectifying measures in the matter.   2. MORE disclosed that the purpose of the capital

for their own interest or other persons’, causing damage to AJD.  In the case of AJD price manipulation,* the SEC has found facts and evidence that during the month of June 2014, Amorn (at the time

, as part of the special case investigative team, the SEC has found facts and evidence supporting the premise that the eight individuals above together with those previously charged with the complaint

According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, facts and evidence were found leading to the belief that Worawoot, COL director and the

demeanors of the person under consideration, other penalty that he/she has already served, the impact, damage or benefits incurred from the facts or demeanors under consideration, rectifications or other

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above

jurisdiction, respectively.The SEC has received assistance from Cyprus Securities and Exchange Commission in investigating and gathering important facts and evidence for the prosecution of the case

interesting stylized facts of equity mutual funds in Thailand, including (1) when comparing between risks and returns, the equity funds with high management fees often yield less returns than the market, and