funds from overseas to make investment based on his advice for the sake of tax benefits and long-term return. The investors followed his advice but suffered loss.? Mr. Malpass was not licensed to operate
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
plan that could support their life goals. This year we feature investment knowledge updates, edutainment games and activities such as suitability test, tools and channels for investment and retirement
Bangkok, May 24, 2016 ? The SEC has ordered Electronics Industry Public Company Limited (EIC) to submit the annual financial statements for the year 2014, the quarterly financial statements for the
enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and
pave the way for the companies in preparation for cross-border securities offering, which would help support investors? confidence. The international standards adoption would allow investors to study the
Bangkok, February 15, 2013 ? The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co
Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC
Bangkok, December 13 , 2012 ? The SEC suspended Theera Chaowanapreechasilp, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and