and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such

Bangkok, November 20, 2015 ? The 10th SEC Working Papers Forum today has revealed the results of three research studies on the common theme, ?Investment: Expectations and Reality,? conducted by the

SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to

initial public offerings (IPO) of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that Chupong, then CGH executive responsible for the

Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to

Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

Insurance Public Company Limited (BKI). Following a referral from the Stock Exchange of Thailand, the SEC?s further inspection has revealed that Chai, then chairman and chairman of the executive board of

he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact

showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities

Bangkok, October 28, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 19,948,269.33 baht for manipulating share price of Union Petrochemical Plc. (UKEM). The fine was