securities companies on account of failing to submit evidence of securities trading orders in the form of recorded tapes of phone conversations with their clients. Pursuant to the SEC Notification
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc...
SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the
baht as specified to the counterparty. According to the evidence, the counterparty had already repaid the 30 million baht to WORLD through Ms. Hongsri and Mr. Chiyachantana. However, there was no proof
Bangkok, January 22, 2009 ? The SEC has devoted its resources into the inspections of documentary evidence which may be related to the case of possible violation of securities laws involving S.E.C
management relating to securities investment or securities analysis for at least three years within five years prior to the date of submission of documents or evidence as proof of having such experience; (3
, risk management relating to securities investment or securities analysis for at least three years within five years prior to the date of submission of documents or evidence as proof of having such
submission of documents evidence as proof of having such experience; (3) being a manager of the management company or holding any position from second to manager down to department director who take
securities analysis for at least two years within five years prior to the date of submission of documents evidence as proof of having such experience; (3) being a manager of the management company or holding