found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and

Commission and BHR Working Group Officers, NHRC, held meeting no. 2/2019 with SEC Secretary-General Ruenvadee Suwanmongkol, and Director of Corporate Governance Department Somsuda Tanchanpongs, to discuss

process of setting up an extraordinary shareholders meeting No.1/2018 and the criteria for nomination of candidates for directorship.The SEC therefore ordered that all three remaining directors whose

statements (see SEC News Release No.93/2009).Thus, the SEC revoked the approval for Somchai?s status of an approved auditor in the capital market and will not consider his application for approval for two

decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment

Bangkok, November 9, 2010 ? The SEC Board Meeting No. 14/2510 today passed a resolution permitting foreign exchange traded funds (ETFs) to be listed on the Stock Exchange of Thailand (SET) on the

the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee.  The criminal case has thus not been regarded as settled.In this

damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity

capital market business under Clause 31(1) of No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014, which have been promulgated in replacement