adverse affect the client's benefits. Failing to inform sufficient information by concealing material information is, respectively, in violation of Clause 20(2) of the Notification of Capital Market
consultants for a period of two months and one month, respectively, effective from June 13, 2013.
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
has announced a list of securities subject to Cash Balance Rule, respectively. With a view to facilitating all stakeholders, the SEC and the SET agreed to provide the information for monitoring purpose
https://asianbondsonline.adb.org/regional/abmf.php and https://asianbondsonline.adb.org/documents/abmf_ambif_implementation_guide_tha.pdf, respectively
Settlement Committee, therefore, imposed penalty fines of 4,587,214.99 baht and 500,000 baht on Pimpa and Nophadol, respectively.
Stock Exchange of Thailand, the SEC's probe found that during April 30 ? May 10, 2012, Sumit and Satja had purchased 2,514,800 and 490,000 RPC shares, respectively, through securities trading accounts of
during April 30 - May 10, 2012, {A} and {B} had purchased 2,514,800 and 490,000 {X1} Company shares, respectively, through securities trading accounts of intimates for their own benefits. The purchases
{C} 6,636,046.77 baht, respectively. {D} and {E} were fined 333,333.33 baht each.
unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectively, concealed transactions that were in contravention to the law and breached the investment policy