were induced to transfer their money to the company's account while the company also obtained benefits from trading fees which are deemed undertaking derivatives business without license in contravention

quality assessment while the capital market has grown both in term of trading volume, a number of listed companies along with the introduction of new financial instruments and complexity of management

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection

their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana

securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of

implementation with company boards of directors, executives and major shareholders. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be

} and {F}, the SEC suspended them for one month while publicly disclosed {G}'s inappropriate behavior with the record of her demerit for future reference if breach of duty is found. {C} case was the

were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were

initial public offerings (IPOs)—while private markets have continued to grow rapidly across the region. The SEC also presented Thailand’s initiatives under the Capital Market Competitiveness and

response, the SEC has taken ongoing actions, focusing on both preventive measures to mitigate potential harm and enforcement actions against misconduct, while working in close coordination with relevant