cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
potential change in the securities price is deemed to be taking an unfair advantage of other people. Such action is in violation of Section 241 and liable to the penalties under Section 296 of the Securities
(www.sec.or.th). ---------Notes:1. The ASEAN Capital Markets Forum (ACMF) was established under the auspices of the ASEAN Finance Ministers in 2004 to serve as a forum for the heads of securities regulators in
accounts were for the benefit of Shine. Nonetheless, there was no record of Shine?s report on his acquisition or disposal of such shares required to be filed with the SEC under the relevant rules which
retail investors, compared to others, concentrated in the most active trading volume of securities with a high price to earnings (P/E) ratio as well as those put under cash balance rule. Most of those
personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider
been well-aware of this urgent agenda and therefore sought collaborative actions from all parties under the project ?Financial Literacy: Road to Thailand?s prosperity? to kick off the first financial
trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor
lift up efficiency of portfolio management under today?s dynamic financial and economic conditions. Instead of buying newly-launched bonds or adopting buy-and-hold investment strategy, the investors