{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

, volume, complexity and range of businesses and services as well as associated risks. Zipmex is required to fully comply with the order within three days as from the date on which the SEC notifies the

initiative demonstrates the collaborative efforts between Thailand and Singapore to improve the inter-connectivity between our two markets and provide investors access to a wider range of investment

gold futures, due to the cancellation of such license, will be upgraded to the precious metals derivatives license which will enable them to operate business in a wider range. The SEC Board, with the

wider range of products and enhance international competitiveness of Thai intermediaries.In drafting the proposed rules, the SEC has taken into consideration the stakeholders? comments and suggestions

Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial

authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system

significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases