imposed a civil monetary penalty of 500,000 baht on the company. Prasit, who commanded or acted in such a way that resulted in the aforesaid violation by Mandawee Tour, contravened Section 300 in
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
resulted from trading orders for investment units listed on SET, in nature, is indifferent from that of the securities company that submits share trading orders. However, the said requirement will not apply
derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien, and Teh Cheng Huat for operating unlicensed securities business.The compliant resulted from several reports
Chantanayingyong, SEC Deputy Secretary-General said that ?Previously, expected timing of the SEC approval for securities offering or fund establishment as well as projected profits of listed companies resulted from
to learn more about investment unit selling operation.Vorapol Socatiyanurak, SEC Secretary-General, said that the exchange of Letters for Cooperation resulted from continual collaboration between the
environment resulted from freer flow of capital and ever more connected capital markets and economies.??In the past years, the SEC has put a lot of efforts to uplift professional standards and audit quality in
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
assistance from Phra Suthep and Vachala.As Sopana was also an approved fund manager, despite no longer working for any asset management companies at present, the above criminal complaint subsequently resulted
resulted in SINGHA?s 2007 financial statements having 63.7 million baht operating profit; instead of an operating loss.There are grounds to believe that such false revenues were items on sales of the wood