or registration from the SEC, which is a violation of the Derivatives Act B.E. 2546 (2003), Section 16. The said violation is subject to sanctions under Section 125 of an imprisonment up to three years

force to accommodate both public and private sectors to set up infrastructure funds. Currently, three sizable infrastructure funds investing in rail transportation, electricity, and telecommunication have

reviewed/audited financial statements by July 2, 2014.The SEC found that the auditor expressed the adverse conclusion on PRO interim financial statements for the first three quarters of 2012 concerning no

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

(1992) (SEA); while Usavadee and Perayuth?s actions, as aider and abettor, were in violation of Section 241 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter

she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.  

., imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, plus a daily fine of 10,000 baht until the violation ends.The SEC, therefore, filed the criminal complaint against the three

Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and

Pattiya (or Pattiyawongse) to a three-year imprisonment for violating Section 90 of the Securities and Exchange Act B.E.2535 while undertaking businesses of securities brokerage and dealing under the name

SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that