failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading

filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

client during the performance of duties.   From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a

information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older

Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found

Bangkok, November 30, 2011 - Following the investigation on {X1} Co., Ltd. in response to the evidences indicated that the company had operated unlicensed derivatives business, the SEC found that

support illegal activities. If any violations are found, the SEC will take legal action accordingly. The public and investors are strongly advised to exercise caution when using services from unlicensed

the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and pay interest