Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to

managers incorporate sustainability factors in their investment process. Consequently, investors may not be able to compare between mutual funds with similar sustainability mandates and, as a result, may

. The revised guideline mandates that 1) liquid assets of fund investment in Thailand be updated including their qualifications by item, for example, cash, bank deposits, bills of exchange, promissory

roles, mandates, and service delivery approaches, alongside the application of digital technology and innovation to improve operational efficiency. The content covered fundamental concepts of the

report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's

(1) driving the PK stock price upward, (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed orders

included (1) driving the PROS stock price upward , (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of

inside information related to trading orders of securities of fund which was managed by himself and disclosed such information to Miss Monsicha, in which, Miss Monsicha placed trading orders of securities

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