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
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
Luangwaykin and Tanakorn Ritthibunlue in the amount of 500,000 Baht each for manipulating share price of Asia Metal PLC (AMC). With a referral from the Stock Exchange of Thailand on irregular trading of AMC