popularity, as employers and organizations realize the benefits of employee?s choice that offers diversifying investment choices in response to a wide range of each member?s demand. Moreover, the SEC promotes

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

residing in Thailand that PPI solicited the complainant to transfer overseas pension to make investment under PPI's advice and management for the purpose of tax benefits and long-term returns. The

Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting

Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he

fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to

For this year's activities, the SEC is serving financial and investment knowledge to investors and the public through online channels for seven days on seven topics, including: investment fraud and

Mr. Yanyong Intarasongkarw Mr. Yanyong Intarasongkarw joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of

Mr. Siwasit Sainumphung Mr. Siwasit Sainumphung joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

Mrs. Woranan Lertkultum Mrs. Woranan Lertkultum joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing