misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile

revealed such wrongdoings, a criminal complaint was filed with the Department of Special Investigation (DSI) against Ratchasak on December 30, 2010. The DSI then proceeded the case and collaborated with the

announced by TRIS Rating. The second study revealed certain factors indicating significant turnaround financial determinants in cases of securities on turnover list, providing recommendations for improvement

Bangkok, June 11, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 15,469,345.62 baht on (1) Boonchai Jirapongtrakul, (2) Boonchoke Santuchpanit (or Thiratarakorn), (3) Vallaya

Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using

auditor?s findings in the audit of the company 2014 financial statements on cost of sales and inventories which revealed lack of efficiency and reliability of AIE internal control system. The auditor was

region with foreign investment funds as well as using mutual funds to help solve a lack of savings. Vorapol Socatiyanurak, SEC Secretary-General revealed after the last quarterly meeting of 2014 with the

SEC Deputy Secretary-General Tipsuda Thavaramara revealed that SEC has launched an automated data distribution system, or SEC API, to enable easy access to SEC’s information or third party

Limited (BSEC)  based on nonpublic information he had known by virtue of his working positions. Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's