consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
credit rating assignment by international CRAs established under foreign law, and the bonds must receive an issue rating not lower than the investment-grade level. This does not apply to private placements
directly to retained earnings when the asset is retired. The SEC thus instructed ABC to rectify such financial statements, and submit to the SEC and publicly disclose the reviewed financial statements by
in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating
Commission (SEC) on this exciting engagement on the topic of assessing the landscape of Thai securities businesses after COVID-19 and under digital disruption. This assignment is timely for the SEC to
, in any forms or through any communication channels, is given to Thai investors; 3. Revising the required qualifications and assignment period of foreign personnel to ensure that the advisory services
Socatiyanurak, SEC Secretary-General said that ?The SEC ordered RICHY to amend information in the registration statement by making comparison of the price-earnings (P/E) ratios of the company with the industry
director and chief advisor to the executive board before it was disclosed to the public. The Q3/2015 operating results showed the net earnings of 14.25 million baht, which was a significant increase compared