internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee

internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee

). According to a referral from the Stock Exchange of Thailand and the SEC?s further investigation, Chayanont was found to have traded CHUO shares continuously during 28 April ? 30 May 2014, in such a way that

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

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