behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved
committing or permitting another to act so as to falsify the accounts of GSTEL and GLS by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual
Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
account, and using the client?s securities trading account for his own benefits were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the
Bangkok, January 26, 2016 ? The SEC has revised several regulations concerning investment policies of mutual funds and provident funds (PVD) to enhance flexibility and compliance with international
named in the complaint as aiders and abettors.With a referral from the Stock Exchange of Thailand (SET) concerning trading behaviors of some investors involving suspected collusion with personnel of asset
. While current regulation only allows the securities companies, commercial banks, insurance companies, and newly-established companies to apply, the amendment to the Ministerial Regulations concerning
Market Supervisory Board concerning personnel in the capital market*, the SEC therefore,-1. Disclosed inappropriate behavior of {A}, a securities investment consultant and {D}, a capital market investment