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
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of