voting method for director selection. This case is in the judicial consideration process.  In addition, on 14 November 2017 the SET announced that IFEC might be liable to delisting because IFEC failed to

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

With the case referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that the four offenders, namely (1) Mr. Win Udomrachtavanich, (2) Mr. Ratachai

account to engage in market misconduct. The civil penalty begins with the SEC?s submitting the case to the Civil Penalty Committee to approve commencing civil penalty proceedings against the alleged

: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then

this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The

from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed

Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months.   In the case of {A}, the SEC found that he had taken trading orders

having been settled the case with a fine for such offence; (d) having been pending under charge or criminal proceeding by competent authorities for the offence under (c). (5) directors, managers and any

…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB