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

by the fourth quarter of this year with the aim to provide more investment choices and help strengthen the financial system.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market

Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading

Discipline). Sira Intarakumthornchai, PricewaterhouseCoopers ABAS Ltd. (PwC Thailand) Chief Executive Officer revealed that ?Good audit committees require extensive knowledge and experiences on their roles as

revealed that: ?From the SEC?s in-depth investigation into the SECC case, the company?s executive Sompong Witthayaraksan and four accomplices were found to having committed fraud for which they were filed

referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed

attract more global funds.SEC Secretary-General Vorapol Socatiyanurak revealed that ?I was very pleased with the outcome of this first meeting of heads of capital market policy makers and regulators in the

Bangkok, February 21, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved the amendment to rules governing advertisement and sales

SEC revealed that at the 7th ARFP Working Group meeting, the progress of opening a funds passport was discussed. The member countries that are ready to submit a request for approval for sale are