Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of

The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept

revise the definition of bills that are considered as securities as follows:  (1)  being bills of exchange or promissory notes issued to the holder, representing the rights on such bills, to more than 10

. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment

Bangkok, 4 January 2018 ? The Criminal Fining Committee has imposed separate fines on four offenders for publicly offering debentures without approval.The four offenders are: (1) Marnfah Group Co

the civil monetary penalties above, the SEC released a public warning against solicitation for investment in Mandawee Tour on 11 August 2017 around the time when the SEC received the referrals to the

Bangkok, 21 September 2016 ? The Criminal Fining Committee has imposed separate fines on three offenders involved in false statement and insider trading of Rasa Property Development Public Company

Bangkok, July 26, 2016 ? The Criminal Fining Committee has imposed fines at the total amount of 8,618,831.25 baht on (1) Mr. Somporn Suebthawilkul, (2) Thaisri Insurance Public Company Limited, (3