The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one

measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three), from 15 January 2018 to 31 January 2018.  Initially, the SEC instructed PACE to clarify the

for one year from September 22, 2011. The order has been issued after the SEC?s finding indicated his audit mistakes and failure to comply with the auditing standards in peforming the audit of Nippon

 Bangkok, April 8, 2014 ? The SEC requires all licensees of securities and derivatives businesses appoint independent directors at least one-fourth of the board members by January 1, 2016.SEC

., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and

Bangkok, July 31, 2013 - The SEC suspended three investment consultants of ZMICO Securities Co., Ltd; two-month suspension on {A} and {B}, and one-month suspension on {C}.  In this connection, the

Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following

securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed