Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of

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

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

debentures. For newly established businesses with potential, venture capital will also be available.The idea has been well-received by Investment Banking Club, Association of Securities Companies, as they see

. 16/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a compensation of the benefit received from committing the

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

the benefit received from committing the offense in an amount of 11,178,444.00 Baht     - a civil monetary penalty of 13,973,055.00 Baht The SEC has banned Mrs

06.32 hrs). 14/12/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a compensation of the benefit received from

compensation of the benefit received from committing the offense in an amount of 1,319,570.00 Baht     - a civil monetary penalty of 1,662,730.50 Baht SEC Act (the fifth

comply with civil penalties determined by the Civil Penalty Committee as follows :     - a compensation of the benefit received from committing the offense in an amount of