Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives

Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities

paragraph 1 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the penalty prescribed for each offence as follows: (1) For a count of failure to submit the

securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A

Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri

its director must be vacated from directorship due to the above mentioned cause to submit the registration for change of its director within 14 days. Failure to do so is deemed in violation of the

prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to

operations during rectification period and undertakings in case of failure to rectify. The proposed revision aims to mitigate undesirable impacts on securities firms? clients and counterparties as well as the

granted as well as signing cheques which were handed to four borrowers. Her abovementioned failure was considered a contravention of Sections 89/7 and 89/24 of the Securities and Exchange Commission Act B.E

. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under