misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

(TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on December 11, 2014 when Atcmima took an exam for qualifying investment consultant under the name of

referral from the Stock Exchange of Thailand concerning derivatives trading of a client of Kasikorn Securities PLC. The securities firm probed into the case and found that {C} was the one taking care of the

: “Today, the Stock Exchange of Thailand (SET), by the Sustainable Investment Committee, has resolved to remove EA securities from the SET ESG Ratings List due to the company’s failure to meet the criteria

Commission, Government Pension Fund, National Savings Fund Board, Stock Exchange of Thailand, Federation of Thai Capital Market Organizations, Association of Thai Securities Companies, Association of

as the related parties, e.g. listed companies, the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), and the Stock Exchange of Thailand (SET

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission of Thailand (SEC), was invited by the Thailand Board of Investment (BOI) to participate in the opening

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

. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand

consultant, had solicited the clients to purchase over-the-counter shares of a public company that he claimed to be listed on the Stock Exchange of Thailand (SET) later. He gained a margin from the