and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave

such acquisition to the SEC Office within 3 business days as specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on

Bangkok, April 8, 2015 ? The Capital Market Supervisory Board approved regulations on payment of bounty to the informer as well as payment of gratuity to the arrestor in cases where fine is imposed

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Capital Market Supervisory Board. Mr. Kumpol later filed the report (Form 59-2) to the SEC Office on 24 July 2023. SEC Act S.59 Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 15

account but failed to prepare and disclose report on change in her securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Sasavat later

notification of the Capital Market Supervisory Board. Mr. Worawoot Ounjai later filed the report (Form 59-2) to the SEC Office on 20 August 2024. SEC Act S.59 Settlement Committee Meeting No. 7/2024

to the Stock Exchange of Thailand and the SEC Office on May 16 and 17 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The

within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed NEWS shares (on May 26 - 27, 2014) which caused his aggregate holding of NEWS shares