account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
from the first draw down date with the same mortgage value for Land, Building, and Machinery Mortgaged in order to use the fund as working capital in business operation, and purchasing imported raw
reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
The meeting discussed important developments and course of actions in overseeing and developing the capital markets of member jurisdictions. For instances, issues around harmful but legal conduct
will be given to the application of the UNGPs in order to achieve the sustainable development goals (SDGs). In addition, a special talk will be delivered by Dr. Surya Deva, Chair of the UN Working
order to increase opportunities for, and facilitate, investors to access information of products in ASEAN capital market, and to complement an initiative of ASEAN Capital Markets Forum (ACMF) which aims
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
to provide securities trading services according to the order of the account owner or the authorized person3. The SEC therefore suspened approval of {B} and {C} as capital market investment consultant
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core