investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
Bangkok, October 30, 2015 ? The Thai capital market is making progress toward adoption of the Organisation for Economic Co-operation and Development (OECD)?s revised Principles of Corporate
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
Bangkok, October 18, 2012 ? The SEC and the Asian Development Bank today co-hosted a seminar on ?Financial Literacy: Road to the Nation?s Prosperity? to update the SEC implementation of its financial
Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined
specified by the lead regulator. In case of issuer being a branch of a foreign bank without restrictions on the parent bank?s responsibility, the credit rating of the parent bank may be used while B/E and
periods as specified by the lead regulator. In case of issuer being a branch of a foreign bank without restrictions on the parent bank?s responsibility, the credit rating of the parent bank may be used
difference of gold prices in the financial statements for Q3/2010 and record the estimated damages arising from breach of agreement on gold delivery in the financial statements in the year 2010.? THL ?s
extinguish the case, the SEC will request the public prosecutor to file a lawsuit in the Civil Court seeking the maximum applicable civil sanctions as provided by law.Civil penalties and compensation for