2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will

Homtuanlom, for operating derivatives business (gold future agent) without license and defrauding the public, causing a damage of 13 million baht. From the SEC?s investigation, these companies do not have

include going public and becoming a listed firm or PE trust. With PE Trust, businesses will not only have access to fund source for expansion but will also gain management expertise from professionals

SEC as well. Preparation and disclosure of Form 56-1, although not necessarily be lengthy or extremely detailed, must contain adequate and accurate information in materiality and be made in a timely

trading while the client did not reject the transactions. Besides, intra-day trading orders of a listed company's shares were found where the buying prices were higher than the selling ones, causing the

share offering information and, prior to making investment, must pass knowledge test on risks associated with the investment. In case of retail investors, each investor is allowed to buy shares not

Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for

investments; and (5) Lack serious concern on this matter because most of the people do not make any financial plan and are not aware of future problem. As the Thai capital market supervisory body, the SEC has

already expired on 31 December 2024, the SEC has set a 10-year period starting from 15 October 2025 during which her applications for approval to be personnel in the capital market business will not be

) Approving partial repayments of the bond principals in an aggregate amount of not less than 10 percent of the principal value of each bond series as of the bond issuance dates. The partial principal