Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
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
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
) Boon Prasitsamrit for manipulating share price of Thai Yuan Mtal Plc. (TYM); presently known as The Steel Plc. (THE). With the referral from the Stock Exchange of Thailand, the SEC probed into the case
Arnokkaeo for manipulating the share price of Yong Thai Public Company Limited (YCI).Following the referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation revealed that Siwasit had
Bangkok, November 18, 2015 ? The SEC Settlement Committee has imposed fines on Bordin Sangarrayakul and Noparat Jongyin for manupulating the share price of PYLON Public Company Limited (PYLON), and
Bangkok, February 17, 2016 ? The SEC is seeking public comments on proposed amendments to the initial public offering (IPO) rules. The amendments aim to facilitate sufficient share distribution to