Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using
Limited (ESTAR) for insider trading.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during February 24-28, 2014, Ratanachai had used another person?s
3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute
charges against officials of the Bangkok Metropolitan Administration (BMA) and the two companies - Krungthep Thanakom Co., Ltd. (KT), Bangkok Mass Transit System PLC (BTSC) ? including their executives for
Bangkok, February 18, 2013 ? The SEC and the Thai Listed Companies Association (TLCA) hosted the ?SEC for CEO Forum? project to strengthen relationships and increase communication channels for
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
flexibility for asset management business; broaden business opportunities; and provide a wider variety of investment choices for investors which contribute the development in Thai capital market. In this regard