committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in

client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered

, Legal Management and General Administration of the Thai Airways International Public Company Limited, said that the Personal Data Protection Act, which is soon to be enforced, mandates duties to the

market condition, misleading other investors that the securities were in great demand, are deemed a violation of Sections 244/3 (1) and (2) of the Securities and Exchange Act B.E. 2535 (SEA) in conjunction

Bangkok, 16 September 2016 ? The National Legislative Assembly has approved the new amendments to the Securities and Exchange Act (SEA), which aim to enhance enforcement efficiency by amending the

falsification and false accounting record in violation of Sections 281/2, 307, 308, 311, 312, and 313 of the Securities Exchange Act B.E. 2535 (1992) (SEA). Wichai was sentenced to serve 20-year imprisonment and

on exercising voting rights and disclosure of voting results to reaffirm transparency and strict duty performance for the clients? best interest;  Principle 6: Institutional investors should act

Section 243(2) of the Securities and Exchange Act B.E. 2535 (SEA) and Section 83 of the Penal Code. The Settlement Committee therefore imposed fines on them in the amounts of 36,815,524.26 baht, 500,000

acquisition or disposition of securities as specified in Section 246 of the Securities and Exchange Act B.E 2535 (1992) (a so-called every  five percent report) and rules on an investment of the funds in

? wrongdoings are in contravention of Sections 311 and 315 of the Securities and Exchange Act B.E. 2535 (1992).  The SEC investigation stemmed from a referral from the Stock Exchange of Thailand identifying