Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and

standard, and to disclose  related-party transactions for past three years. Rule No. (1) – (4) will come into force for the filing from 1 April 2019 onward. Rule No. (5) will be in effect for the filing

include:-       Adjusting the investment unit value to reflect the costs incurred from selling or buying assets in the fund portfolio,-       Charging additional fees from the buyer/seller of investment

symposium to share experiences and practices.SEC also received approval from the APRC meeting, which currently has Mr. Jun Mizuguchi from the Financial Services Agency of Japan as its Chair, to host the

SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in

, from the beginning to the end. This type of lawsuit is another solid legal option for investor protection and remedy,” said Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary

orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account

Limited (BSEC)  based on nonpublic information he had known by virtue of his working positions. Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed