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

/pb_ar_2004.pdf Annual Report 2003 Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies

Bangkok, April 23, 2012 ? The SEC urges listed firms to emphasize on clear and complete disclosure of information in documents and reports in preparation for assessment of ASEAN Corporate Governance

responsibility must be lived up with to boost confidence and upgrade standards in corporate governance for companies listed in Thailand.Mr. Rapee Sucharitakul, Secretary-General of the Securities and Exchange

are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to