Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase...
Bangkok, August 19, 2011 ? Vasant Thienhom, SEC Deputy Secretary-General stated concerning the Appeal Court?s today judgment that overturned the Court of First Instance on December 3, 2007 that
securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the
channel anytime. {A}'s actions were deemed non-compliance with investor contact's standards of conduct of Clause 14(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and
Bangkok, July 22, 2014 ? The SEC extended the deadline for submitting Shun Thai Rubber Gloves Industry Plc. (STHAI)?s rectified and audited versions of 2012 financial statements from June 26, 2014 to
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to...
between accounting system and forecast of investment returns. This might reflect Indian?s stronger accounting system, enforcement and investor protection. Note: The research paper was presented under the
Bangkok, June 2, 2015 ? The SEC jointly with the School of Development Economics of NIDA hosted the 4th SEC Working Papers Forum, 2015 on ?Global financial market risks and financial plan for retirement?. Presented at the Forum were the study on major exchange volatilities which are interrelated during the crisis and the study allocation of investment suggesting that starting plan for retirement early increase chances of achieving happy retirement.The SEC Working Papers Forum has been hosted und...
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
Bangkok, April 24, 2015 ? The SEC presented research papers of Kasetsart University at the 3rd SEC Working Papers Forum, 2015 on ?Behaviors of noise trader in the Stock Exchange of Thailand?Chalee Chantanayingyong, Acting SEC Secretary-General, said that the 3rd SEC Working Papers Forum, 2015 presented the research papers of Kasetsart University concerning liquidity and noise trader behavior in the Stock Exchange of Thailand. The papers pointed out the significance of making prudent study on inf...