Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

Bangkok, April 24, 2013 ? The SEC revealed that the Settlement Committee imposed a total fine of 28,472,689.29 baht on Choavalit Limpanich, Yanyong Nitisaroj, and Ziriwat Anunkusri, for purchasing

inspection that {A}, a capital market investment consultant of Phillip Securities, failed to record his clients? securities and derivatives trading orders. {B}, a capital market investment consultant, and {C

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