firm to be prohibited from business expansion. In addition, in case where an increase of investment by any person or a group of persons causes the one-third limit to be exceeded, the asset management

for enhancing operational efficiency under the ?SEC Centerpoint? Knowledge Management Project. The project has allowed the SEC staff to learn, exchange, and apply the knowledge acquired from work

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of  Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities

from Krungsri Securities PLC., the SEC probed into the case and found that Atthapol submitted trading orders for the client?s securities trading account through IP address of Krungsri Securities during

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

amount to the benefit should have been received from committing the offence in a sum of 522,500 Baht together with 7.5% interest calculated from the amount equals to the benefit should have been received

:     - a compensation of the benefit received from committing the offense in an amount of 2,723,575.00 Baht     - a civil monetary penalty of

follows :     - a compensation of the benefit received from committing the offense in an amount of 2,723,575.00 Baht     - a civil monetary penalty

the benefit received from committing the offense in an amount of 1,853,425.00 Baht     - a civil monetary penalty of 2,316,781.25 Baht The SEC has banned Mr. Sarath