Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a
approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
business upon obtaining a license to undertake trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s
units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Saowarat’s application for obtaining SEC approval to be personnel in the capital market business during
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities
mutual funds with investment in derivatives, hybrid securities, structured notes, and derivatives.***Phisit’s application for obtaining SEC approval to be personnel in the capital market business during
gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency. The proposed regulations provide instructions for giving
trading orders when obtaining orders from clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re