internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and

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

volume weighted average price of the Company’s ordinary shares traded on the SET during 7 consecutive business days prior to the subscription date falls within the range of THB 6.90 to THB 8.08 per share

, volume, complexity and range of businesses and services as well as associated risks. Zipmex is required to fully comply with the order within three days as from the date on which the SEC notifies the

initiative demonstrates the collaborative efforts between Thailand and Singapore to improve the inter-connectivity between our two markets and provide investors access to a wider range of investment

gold futures, due to the cancellation of such license, will be upgraded to the precious metals derivatives license which will enable them to operate business in a wider range. The SEC Board, with the

wider range of products and enhance international competitiveness of Thai intermediaries.In drafting the proposed rules, the SEC has taken into consideration the stakeholders? comments and suggestions