already been suspended by her employer, however, the suspension imposed by the SEC is deemed to have been served.

September 30, 2014.Earlier, the SEC notified STHAI to rectify its 2012 financial statements due to the limitation on scope of audit imposed by the company management in various matters including quantities

suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed

will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found.   The issuers covered under the proposed revision are non-listed

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 8, 2015 ? The Capital Market Supervisory Board approved regulations on payment of bounty to the informer as well as payment of gratuity to the arrestor in cases where fine is imposed

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

underwriters. The proposed new rules cover the addition of municipal bond as securities, and filings in English version when foreign securities are offered, and the prohibition imposed to underwriters, their

traded on the SET, was in violation of Section 239 and liable to the penalites under Section 296 of the Securities and Exchange Act of 1992. He was imposed a criminal fine of 500,000 baht