Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

damage. Having considered the said fact, the jail term was therefore suspended for three years under Section 56 of the Penal Code.  In addition, the Court revoked the freeze order against Wichai?s assets

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested

SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently

must be within the scope agreed by the clients in advance, in order to expand the service scope of the business operators and meet the investors’ requirements in a more comprehensive and convenient

Bangkok, May 2, 2012 ? The SEC has directed Singha Paratech Plc. ("SINGHA") to rectify its financial statement for the year 2010 due to the scope of audit limitation imposed by the company?s

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