pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering Act B.E

subject to pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

lawsuit against those six offenders in the Civil Court for imposition of the maximum applicable statutory penalties comprising a fine of 68,456,936 baht plus interest, a suspension of trading in

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

, trading such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are

conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised