employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and
manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
Offer for Sale of Securities Issued by Foreign Company to Directors or Employees of Foreign Company or Conglomerate in Thailand (No. 2)
SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
Meeting of Shareholders No. 1/2018 3. Approved the issuance of the Warrant to purchase ordinary share for Employees Stock Option Plan (CCET-WC), distributed to directors and/or employees of the Company and
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and