Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders.  Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to

Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities

Microsoft Word - SET 2018-004 MD_A EN 2017 (Translation) February 22, 2018 Ref: SET-2018-004 Re: Management's Discussion and Analysis and operating results for the Year 2017 Attn. to: President The

holding of MILL shares reached or passed five percent of the total number of voting rights of MILL. He later filed the accurate reports (Form 246-2) to the SEC Office on October 18, 2018. SEC Act S.246

holding of MILL shares reached or passed five percent of the total number of voting rights of MILL. She later filed the accurate reports (Form 246-2) to the SEC Office on October 18, 2018. SEC Act S.246

Microsoft Word - Eng-SET Q2-18 reviewed Ref: FASET 03/2561 August 28, 2018 Subject: Report the operating result for the second quarter and for the six - month period ended June 30, 2018 To: President

abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone