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

{G}, they failed to record some of client trading orders correctly and completely.  In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if

Bangkok, August 21, 2012 ? The SEC revealed that the Settlement Committee has imposed a fine of 500,000 baht on Sunthorn Chaononghin, then an engineer of Solartron PLC (SOLAR), for trading SOLAR

Thai capital market through the structure of holding company,? revealed SEC Secretary General Vorapol Socatiyanurak. The Stock Exchange of Thailand (SET) also plans to revise regulations on the

Limited (TIES*), and his aider Ms. Ornsiree Chinkamtornwong, for using inside information to sell the company?s shares. Following the SET?s referral, the SEC?s further investigation revealed that Assavin

Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved revision of regulations on independent directors of licensed securities and derivatives business

issuing branches must be provided to better reflect credit risk.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved revision of regulations on

investment trust (REIT), to ensure accurate, clear and sufficient information for investors? investment decision.Chalee Chantanayingyong, SEC Deputy Secretary-General revealed that ?Recently, a number of

Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 11,962,385.44 baht on (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} (10) {J

Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies