act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht.  SEC has considered that Sunisa failed to perform duties or provide

Business License to provide services related to equity instruments and Private Fund Management License. In addition, the amendment would allow intermediaries licensed to undertake private fund management

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

products. The SEC will provide support to businesses, regardless of size, industry or location, to raise funds through the Thai capital market serving as destination for offer for sale of shares or

? and ?Category B investor contact? will become ?investment analyst? and ?investment consultant,? respectively, and will be entitled to provide analysis or give advice on equity instrument, debt

investment in all products. ?Improvement of the suitability test will not only provide the business operators and investors with more convenience, but will also better reflect investor demands. The test

provide investors with correct and complete information promptly. _________________

percent is held by the Stock Exchange of Thailand, commercial banks and securities firms. Unlike other securities firms, TSFC is licensed to particularly provide securities financing including margin loans

illegal operation are encouraged to provide information to the ECOTEC at 0-2237-1199 for further proceedings.To ensure proper legal protection, the public interested in derivatives trading is advised to do