Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she confirmed the clients' trading orders via telephone, as she understood that these could have been ev...
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information and associated risks carefully and thoroughly when deciding to open a trading account for each product type. For example, opening a derivatives trading account for a block trade comes with various
comply with the SEC’s investment rules regardless of EA shares not considered eligible assets for Thailand ESG Funds. For other mutual funds, the investment value in EA securities is equivalent to 0.06
profits from the order. SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has
application. SEC hereby notifies that Rich Gold Intertrade Co., Ltd. is not licensed to undertake securities business or derivatives business; therefore, the company is not subject to SEC’s supervision
with the transitional provisions, are allowed to operate their digital asset businesses.Five of them are seeking licenses to operate as digital asset exchanges:(1) Bitcoin Co., Ltd. (BX / website
Bangkok, February 10, 2014 ? Securities and Exchange Commission (SEC) discussed with the Thai Bankers? Association (TBA) and the Association of International Banks (AIB), on the commercial banks
. (WHA) would rise or fall, and such information had not been disclosed to the Stock Exchange of Thailand (SET).Following a referral from the SET and the SEC?s further inspection, it was found that Somyos
financial statements considering the company?s 2010 financial statements not in compliance with the generally accepted accounting principles. The company did not arrange the assessment of value and quantity