. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business

begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less

Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing

to transfer the money received from the mutual fund units redeemed to her own account for personal use;            2. Transferring additional deposit from the client’s account to her own account on

Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri

out and paid to the unitholders at a price higher than the market price at the time. Chanyarat used the information above to buy UOB8TF units into her securities account during 20 August 2015 – 11

of COL at a price higher than the market price at the time, which would create a positive impact on the share price of COL. After knowing such inside information, Worawoot and Patcharapat bought COL

TRITN securities by continuously placing buy or sell orders with the intention to cause the price or trading volume of TRITN securities to deviate from normal market conditions, with (4) Natthawat

three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives

?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to