investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
Limited (TIES*), and his aider Ms. Ornsiree Chinkamtornwong, for using inside information to sell the company?s shares. Following the SET?s referral, the SEC?s further investigation revealed that Assavin
sectors. The amended rules specify that certain matters remain under the SEC supervision, including issuers? non-involvement in illegitimate businesses. The SEC, however, does not impose requirements
. Following a referral from the Stock Exchange of Thailand (SET), the SEC probed into the case and found that on September 23, 2009, Chutchapong, then deputy managing director and director of SLC, had sold SLC
results of the review affect the fair valuation of the investment or any items in the financial statements that have been submitted to the SEC Office and disclosed publicly, PACE has informed that it will
Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies
derivatives business.Vasant Thienhom, SEC Deputy Secretary-General, said that "Following suspicious report from investors, the SEC's probe revealed that {X1} Co., Ltd. and {A} held themselves out as gold
revealed that ?the Capital Market Supervisory Board (CMSB) requires application and information disclosure for offshore CD offering be jointly prepared by the applicants and the SEC-approved FA save where