without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of

deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and

without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

and ASCO, has worked on this project, aiming to achieve three objectives, consisting of Coverage: to expand the analysis on interesting  securities that lack research papers, such as companies in

Institute of Development Administration (NIDA) to organize ?SEC Working Papers Forum.? The Forum starting by this month aims to provide a platform for capital market research presentation and knowledge

Bangkok, June 2, 2015 ? The SEC jointly with the School of Development Economics of NIDA hosted the 4th SEC Working Papers Forum, 2015 on ?Global financial market risks and financial plan for

Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has