clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been

documents  indicated that its total revenues relied on six major counterparties, accounting for 49 percent of total revenues from sales and services. It was found, however, that 30 percent of the applicant?s

Rehabco sector so as for the company to resume its sectoral trading in 2008. In this regard, the DSI and the SEC cooperatively took further investigation and found more evidence leading to three more counts

receive the SEC?s official letter. Information on the approval can be found on the SEC website ? www.sec.or.th; under topics ?Weekly News? for securities issuance and offering, and ?Mutual Fund Report and

suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country

July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded

spot market, open trading accounts and trade through website www.goldexasia.com.  It was, however, found that there was no gold delivery while payments were not made in full for trading transactions

the ACMF Implementation Plan and the ASEAN Economic Community Blueprint 2015 can be found at http://www.theacmf.org/ACMF/report/ImplementationPlan.pdfand http://www.asean.org/archive/5187-10.pdf.

report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took