into their trading accounts but the money was not deposited in the clients? accounts. The SEC?s further investigation revealed that Veerachai had replaced the name of the actual account owner on the

not only in Philippines economic development but also in ASEAN capital markets integration where he is a member of the Group of Experts of the ASEAN Capital Markets Forum.The afternoon session will

method was not allowed according to the company's articles of association. Later, on 26 June 2017, the Department of Business Development, the Ministry of Commerce issued an order rejecting the

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

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