Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

continues. Therefore, SEC has filed a criminal complaint against all three persons with ECSD. In this regard, any person affected from such unlicensed activities should call ECD at 0-2237-7535 to provide

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment

A study of intraday trading behavior around tick size changes A study of intraday trading behavior around tick size changes Roongkiat Ratanabancheun, Kanis Saengchote Chulalongkorn Business School

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should have

Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should

Indonesia. The legal action in the case of EARTH has already been notified to the Anti-money Laundering Organization (AMLO).  The criminal complaint has been filed against EARTH and its three directors

Lawsuit” forum provides a good opportunity for discussions and exchange of views, by which knowledge and understanding of all parties concerned can be enhanced,” said Mr. Rongrak Phanapavudhikul, SET Senior