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

a business development policy and revising the regulations for the supervision of  SEC.  The public hearing from the business sector is in furtherance of the first public hearing on 8 May 2019 in

the payment of invoices to an incorrect account. The loss in the email compromise affected significantly the company and the overall shareholders.SEC is of the opinion that the supervision and

and introducing provisions for Digital Infrastructure Main Operator;  (2) Supervision of Securities and Derivatives Business Operators: revising regulations for major shareholders of business operators

process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into