(UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about

is proposing additional regulations related to custody of clients’ assets by requiring that digital asset business operators undertake the following actions:  1)  Custody of fiat money: withdrawal and

Bangkok, 18 October 2016 ? The SEC is seeking public comments on the proposed rules concerning provision of securities and derivatives trading services with limited discretion according to clients

Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch,  for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E