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
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three). The deadline is extended to 15 January 2018.Earlier, the SEC instructed PACE to clarify the
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial
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
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