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

Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order

Exemption for Preparation and Disclosure of Securities Holding of Executives of Financial Institution Closed by the Financial Institution Reform Committee Order

Mr. Chusak Ruentip Mr. Chusak Ruentip failed to comply with the competent officer's order to testify. The public prosecutor issued a prosecution order against the accused; however, attempt to

Mr. Todsapon Buachaiyo Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic