securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as

Bangkok, July 30, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing derivatives investment of provident funds to increase investment channel and opportunity for

Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The

Bangkok, September 12, 2013 ? The SEC is seeking public comment on draft amendments to the disclosure rules on financial statements of foreign bank branches to emphasize on the branches? financial

Bangkok, September 13, 2013 ? The SEC revealed that the Settlement Committee imposed a total fine of 1,652,516.19 baht on Swake Srisuchart for using inside information to purchase Power Line

Bangkok, March 10, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 500,000 baht on Pantipa Thirakanokvilai for using inside information to sell shares of IT City Plc

Bangkok, June 16, 2015 ? The SEC is seeking public comment on the draft regulations to be issued under Section 152 of the Derivatives Act B.E. 2546 (2003) on payment of bounty to the informer. Under

Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using

attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public

Bangkok, May 15, 2015 ?The SEC is seeking public comment on revisions of rules for securities and derivatives business operators in the areas of fiduciary duties, organization structure, operating