documents in order to lure the investors into believing that their subscription transactions had been executed and recorded when in fact Napasook did not use the money to subscribe for the fund units as

. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a written

specific amount. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a

due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s

Bangkok, March 27, 2012 ? The SEC directs Pan Asia Footwear Plc. ("PAF") to rectify its financial statements for Q3/2011 and year 2011 due to the company ' s management imposed scope limitation and

credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such

transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients.  SEC

bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

foreign securities companies, as clients of Thai securities companies, comply appropriately with the regulations related to short selling and long selling transactions*.The Capital Market Supervisory Board

following manners:             (1)  funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a