Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...

Association of Securities Companies (ASCO) agree that such research should contain complete, useful information for investors to make sound judgments. Thus, ASCO members are asked to provide such material

investing in PTT shares to prevent possible impacts on unitholders of such funds after the Stock Exchange?s posting of the Trading Halt sign ("H") on the PTT securities effective from the first trading

  whether there was any unusual trading during such period of time was also taken into account, the results of which are as follows: 1. Cause of temporality halt on the SET?s trading system         Circuit

ขายหุ้นในช่วงเวลาดังกล่าวด้วย โดยมีข้อเท็จจริงในแต่ละเรื่อง ดังนี้ 1.  สาเหตุที่ทำให้ระบบซื้อขายของ SET ขัดข้องระบบ circuit breaker ได้ถูกออกแบบให้ trigger market halt สำหรับ SET และตลาดหลักทรัพย์ เอ็ม

Office and using such applicable form. 1The applicant in Paragraph 1 shall pay the application fee to the SEC Office when the SEC Office has received the application together with accurate and complete

form of cash or short-term securities (Cash Company). In case of posting the Trading Halt (H) and Trading Suspension (SP) sign, trading activities are suspended when an event occurs and impacts decision

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.