securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the

loss. Their actions were in violation of Section 241, subject to sanctions under Section 296 of the Securities and Exchange Act B.E. 2535 (1992). On June 18, 2014, Yongyuth and Vorapin agreed to enter

securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been

Act B.E. 2535 (1992) (SEA) and thus liable to penalties under Section 296 of the said Act. Yanyong and Ziriwat?s actions, as accomplices, were in violation of Section 241 of the SEA and thus subject to

be requested to provide clarification and its subsequent advertisement may be subject to the SEC?s prior approval. Already publicized advertisements must be revised within 15 days to be in compliance

will remain subject to the defined criteria.For outsourcing activities directly relevant to their core businesses, such as management information technology and client registrar, the business operators

with the SEC rules on standards of conduct is subject to strict sanction, said SEC Deputy Secretary-General Vasant Thienhom.  

mutual fund under Thai securities law although utilizing different forms of instruments such as shares or trust certificates.  Eligible CIS must be managed by CIS operator subject to supervision of ASEAN

, subject to the prohibited characteristic of the auditor in the capital market under Clause 16(1) of the Notification of the Office of the Securities and Exchange Commission No. SorChor. 39/2553 Re

the SEC). In addition, the offenders are subject to a suspension from trading securities or derivatives for 11 months or 14 months (as the case may be) and a bar from serving as directors or