her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment

underwriting will also be revised in responsive to current circumstances.  The consultation paper is available on www.sec.or.th. Stakeholders and those interested in the proposal are welcome to submit comments

, gave her personal saving account to {B} to amend the name stated on the account to be the client's. It was also found that Panadda had signed an application to open a securities trading account with a

Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due

the mining property rights of EARTH. Besides, the reasonableness of the value assessment based on the hypothesis that the two mines could be operated within this year or next year was doubtful with a

petition will be submitted to the Court seeking an order of a 2-million-baht civil penalty on each offender or 6 million baht in total in addition to the reimbursement of 102,132 baht for the investigative

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

account many times and claimed that the money would be spent on purchases of non-listed securities when in fact he used that money for other purposes and there was no evidence that he possessed such non

the withdrawn money, to be printed on the fund books of other clients and had the bank’s seal stamped on the fund books or recorded in investment unit purchase transactions on fund books and

Register of persons qualified to be fund manager Please wait... Register of persons qualified to be fund manager Export Excel No. List of Fund Managers Type of fund manager MF DF Approval date