while in fact the person had received investment advice from another Kasikornthai employee who was not an approved investment consultant. {B}, the manager of the branch where the client received
the issuer to support sufficient distribution to retail investors.The proposed amendments have taken into account stakeholders? opinions received from the hearing on the guiding principles conducted in
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
Bangkok, December 16, 2013 ? SEC voted ?The Best Information Booth? award for the medium-sized booth category at SET in the City 2013. SEC Assistant Secretary-General Waratchya Srimachand received
-General Vorapol Socatiyanurak received the ?Outstanding Booth? award from General Surayud Chulanont, Privy Councillor, at ?Money & Banking Awards 2013? on June 14, 2013. The award is in recognition of the
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
overseas as well as in Thailand. The revised rules cover guidelines for advertisement and publication, areas of permissible marketing activities in Thailand and instructions of benefits received from
Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng
Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report
SEC also received high recognition among regional members as chairman of the Asia-Pacific Regional Committee (IOSCO APRC) during 2005-2008. Currently, the IOSCO has 200 member countries. ?Upon joining