from Krungsri Securities PLC., the SEC probed into the case and found that Atthapol submitted trading orders for the client?s securities trading account through IP address of Krungsri Securities during

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

and experiences among experts to keep up with development of accounting principles having effect on financial information disclosure. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

Bangkok, November 4, 2014 ? The SEC will launch infrastructure trust regulations recently approved by the Capital Market Supervisory Board.Vorapol Socatiyanurak, SEC Secretary-General said that the

for NAV calculation.It was found that the calculation of NAV of domestic mutual funds investing in the offshore ETF based on such offshore fund?s closing price was in line with international standard

international standards in the area of Thai securities business. The SEC always emphasizes on anti-money laundering and announced the regulations to ensure that preventive measures against use of securities

Information. In addition, CIS portfolio investment must be comparable to that of mutual fund and CIS operator must appoint contact person in Thailand.Moving towards the age of borderless markets under ASEAN

Bangkok, November 27, 2013 - The SEC revealed that the Settlement Committee imposed a total fine of 10,488,534.01 baht on {A} for using inside information to purchase {X1} Plc. shares; as well as {B

deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets