-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when
, 2013.With a referral on the {A} case from the Stock Exchange of Thailand, the SEC probed into the case and found that {A}, then Senior Vice President Retail Sales 1 of Siam City Securities Co., Ltd., had
Bangkok, 7 April 2025 – Following the decision of the Stock Exchange of Thailand (SET) and the Thailand Futures Exchange (TFEX) to implement temporary measures for overseeing the trading situations
2024, titled “Shaping Tomorrow: Exploring the Intersections of Aging Society, Economic Dynamics, and Innovation.” The event was organized by the Association of Capital Market Academy (ACMA) in
collaboration of capital market partners, business organization and government agencies, i.e. (1) the Stock Exchange of Thailand (SET), (2) the Federation of Thai Capital Market Organizations (FETCO), (3) the
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