As SEC has made an amendment to Section 185 of the Securities and Exchange Act, effective 17 April, the amended Section stipulates that SET-member securities companies are able to trade listed

to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months from her duty as an approved capital market investment

suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed

Advice dated January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities investment consultant for three months, effective from June 27, 2014.

from a client?s account, which was deemed a breach of duty. She was also found to have acted in such a way that indicated dishonesty to the bank. In this regard, Sarinrat was deemed having prohibited

Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a  report

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million

cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. The Securities and Exchange Commission Notification of the Securities

responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. The Securities and Exchange Commission Notification of the Securities and Exchange Commission No

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. The Securities and Exchange Commission Notification of the