Bangkok, February 15, 2013 ? The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co

persons or a person acting on behalf of, or at the direction of, or an undertaking controlled by such persons; (3) inform the AMLO of such frozen assets; and (4) inform the AMLO of a customer or former

former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders.  Following a report from Bualuang Securities PLC., the SEC further probed into the case

clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

Bangkok, January 30, 2012 ? The SEC has filed another criminal complaint against Porntep Thawornwisuthikul and Arada Lertpinyopap, former executives of United Securities Plc., and three other persons

based on reasonable evidence indicating that the said persons  agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the

Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of

Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment