, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found  that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make

December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

fund but offer  more flexibility and impose less restriction; for instance (1) company with expertise in real estate investment and management is eligible to participate in REITs establishment and

amended by the Securities and Exchange Act (No. 4) B.E. 2551 and Section 63(5) of the Securities and Exchange Act B.E. 2535 which contains certain provisions relating to the restriction of rights and

operators' exhibition booths, and the access restriction of investment scam platforms. Additionally, Mr. Rongrak Phanapavudhikul, SET Senior Executive Vice President and Spokesperson, discussed the securities

Exchange Act B.E. 2535 (1992) which contains certain provisions in relation to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 41

information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but

suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country