Following POLAR shareholders? complaints and the SEC's further investigation, it was found that POLAR, led by Yanakorn as director and chief executive officer and Poonsak as director and chief
Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were committed.In the case of Veerachai, Nomura was informed by the clients that they had transferred money
Bangkok, March 12, 2012 ? SEC Secretary-General Vorapol Socatiyanurak reveals that the SEC and Association of Investment Management Companies (AIMC) discussed the policy to develop asset management
) Regulatory sandbox: revising the definition of securities businesses to include an emerging business model that uses financial technology to experiment and offer innovative products and services to investors
Bangkok, August 25, 2011 - The SEC urges shareholders of Scan Global Plc. (SCAN) to carefully study information before ratifying the 11 connected transactions and the acquisition of assets that SCAN
SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the
features. Such conditions may mislead investors into believing that B/E is entitled to the same protection as bank deposits when in fact transferors of B/E are subject to recourse by subsequent buyers. In
structured features. Such conditions may mislead investors into believing that B/E is entitled to the same protection as bank deposits when in fact transferors of B/E are subject to recourse by subsequent
the market price and the agreed price. In Q3/2010, THL clarified that the foreign bank had temporarily allowed suspensions of debt repayment and gold delivery for the purpose of negotiation on the