probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

, said: ?Annual report and other reports such as quarterly financial statements and management discussion and analysis (MD&A) are a good source of material information on listed companies. The annual

The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow

Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material

The SEC received information from the Stock Exchange of Thailand (SET) in October 2024 and later conducted further investigation into an interview given by Mr. Boon Vanasin to a media outlet on 25

conducted by the SEC reveals that in the minutes of the Board of Directors’ Meeting, and information disclosed by EARTH, via the information disclosure system of the Stock Exchange of Thailand on several

is required to submit the clarifications and supporting documents to the SEC and disclose these clarifications via the Electronic Listed Company Information Transmission System of the Stock Exchange of

material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client