activities therewith may not be protected by the laws enforced by the SEC. In the case of the Facebook accounts, the SEC has instructed the accounts to end the solicitation on the social media platform. On a

) ordering him to testify and deliver documents and other evidence to the competent officer by September 13, 2004. Consequently, Mr. Anchanbutr did appear for the testimony. The competent officer requested

SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with

orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep  tape evidence of all investment advice and a client's securities

.  Previously, he was warned by the SEC and punished by Bualuang Securities Plc. as he failed to record his advice and clients' securities trading orders in the same year for three occasions. However, he kept

Bangkok, February 11, 2010 ? The SEC Board today approved in principle investment in foreign exchange derivatives or structured notes for investment purpose by mutual funds and retail private funds1

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and

other agenda items.   The IFA is of the opinion that the three transactions above are inappropriate and thus should not be approved by MACO shareholders because more than 50 percent of Hello LED

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

received a complaint lodged by a client of a brokerage firm stating that {D} traded securities through client?s account without evidence of trading orders from client, while the client did not even know the