derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and

: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The SEC probed into the

to trade securities on client's behalf. In addition, it was found that trading orders were submitted by {A}, {B} or Kantanapat, or via internet in the approximate periods and sometimes were the orders

}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to

information disclosure. Moreover, it has not yet complied with the SEC and the Stock Exchange of Thailand (SET)?s previous orders requiring the company to disclose and clarify information on land purchase and

the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know

(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly

and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such

it easier and more cost-effective for shareholders to have their say in the company?s decision-making with regard to business operation and relevant issues. We wish to see listed companies adapt these

Mekong region.  It reflected the shared visions and regional support toward the SEC Thailand?s initiatives in building a network for Mekong capital markets cooperation.  I am confident that with active