was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities

must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together

} was found colluding with other persons to trade RICH shares through 15 related persons? securities trading accounts during May 10 - July 31, 2007. The scheme had considerable impact on RICH share price

provident funds to seek more returns. The amendments are in line with international pension standards and adhere to the principle of assets stability and risk diversification of investment to safeguard

Bangkok, March 31, 2015 ?The SEC opened ?SEC Capital Market Knowledge Center,? with interactive multimedia to provide a comprehensive source of financial and investment information along with

Bangkok, April 8, 2015 ? The SEC notified Thai Industrial & Engineering Service Plc. (TIES) to rectify its 2014 financial statements. TIES has to file with the SEC and publicly disclose its rectified

Bangkok, July 17, 2015 ? The SEC supported debt securities issuer to make debt securities offerings with more convenience, less time-consuming, and in line with international practices. Rapee

region. Bond issuers will be enabled to raise funds through multi-jurisdictional offerings to non-retail investors with a standard filing form prepared in English language. Rapee Sucharitakul, SEC

disclosure.  With reference to the interview given by CHEWA executive and RHB financial advisor, which appeared on several newspapers on 16 March 2016, CHEWA had been approached with a takeover proposal for a

., institutional and high net worth investors, to enhance competitiveness of asset management companies and diversify choices of investment for investors with higher risk tolerance.  The draft revision aims to allow