Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
offenders with the ECD Police for further legal proceedings. Anyone who may have been affected by their unlicensed securities business operation can give additional information for the benefit of the ECD
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
failure to perform his fiduciary duties with responsibility, prudence, honesty and integrity, and in accordance with the law for the utmost benefit of the company under the Securities and Exchange Act's
Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor
Bangkok, 5 June 2017 ? The SEC is seeking public comments on the proposed amendments to the Securities and Exchange Act B.E. 2535 (1992) concerning three important matters: (1) regulatory sandbox, (2
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
SEC Secretary-General Ruenvadee Suwanmongkol said that since the regulations on details of mutual fund schemes supporting the establishment of SSF to invest mainly in listed securities took effect
regulatory frameworks on disclosure of interim financial information to ensure that such information will best benefit investors in terms of information adequacy, accuracy and timely availability. The