derivatives trading account in order to continue trading. She later made a summary trading report under the client’s account and sent it to the client for acknowledgement. In so doing, she concealed the trading

and monetary policy setting as transactions or activities may not be conducted through operators or intermediaries under the public-sector supervision. Meanwhile, the public sector should not hinder

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

under Section 89/7 and Paragraph 2 of Section 281/2 of the SEA. The SEC has therefore filed the criminal complaint against Wichai with the ECSD for further proceedings.  On 5 September 2017, Wichai, also

Bangkok, March 17, 2015 ?  The SEC, the Institute of Directors Association (IOD), the Federation of Accounting Professions under the Royal Patronage of His Majesty the King (FAP), the Thai Listed

selling orders were made with equal or under the purchase prices without concern for loss to the client. Moreover, trading volumes soared during the marketing campaign of Country Group Securities.In

deemed as  performing duty with dishonesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as capital

initial public offerings (IPOs)—while private markets have continued to grow rapidly across the region. The SEC also presented Thailand’s initiatives under the Capital Market Competitiveness and

transmitting financial and investment knowledge, thereby inspiring various sectors to collectively advance Thai society toward long‑term financial security. Activities under the Project will be mobilized and

significant adverse impact on the credibility required of capital market business personnel. Both types of conduct are deemed the prohibited characteristics of capital market business personnel under the