without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

facilitate existing agricultural futures business operators to continually provide services on agricultural commodities futures traded on TFEX. Meanwhile, investor protection will not be compromised and

facilitate existing agricultural futures business operators to continually provide services on agricultural commodities futures traded on TFEX. Meanwhile, investor protection will not be compromised and

ASEAN capital markets.? The foreign CRAs allowed to provide voluntary rating, though not required to obtain the investment advisory license, must meet the following criteria: -?operating credit rating

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive

private power project; (3) The fund may invest in a yet-to-be-complete (greenfield) project at an amount not exceeding 30 percent of the total net asset value of the fund; otherwise, the investment units

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their