insight between top executives of listed companies and the SEC. The Forum focused on corporate responsibility to society and environment along with corporate governance and anti-corruption. Featuring in the
Bangkok, June 2, 2014 ? The SEC notified Professional Waste Technology (1999) Plc. (PRO) to rectify its Q1-3/2012 financial statements due to limitation on scope of review imposed by PRO management
capital market personnel's malpractice / breach of professional conducts. They shall subsequently be revoked their approved status and the SEC will not consider their re-entering applications for a
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity
Bangkok, April 21, 2016 -- The SEC is seeking public comments on draft rules concerning supervision on trigger funds and advertisement of other types of mutual funds, to be imposed on relevant
(TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on December 11, 2014 when Atcmima took an exam for qualifying investment consultant under the name of