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
also found that a related person with one of the UWC's directors benefited from TNP's sale of OSCAR shares without reasonable grounds. This case is under consideration of the public prosecutor