first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

Bangkok, June 12, 2015 ? The Supreme Court of Thailand sentenced Kanchana Laowtrakul to a five-year imprisonment without probation for aiding and abetting Nuprapat Snidvongs Na Ayudhya in seeking

Bangkok, October 6, 2015 ? The SEC filed a criminal complaint against Penkae Katekaew and Tan Lethi with the Department of Special Investigation (DSI) for collusively seeking unlawful gain causing

both representatives of JKN bondholders, i.e., Daol Securities (Thailand) Public Company Limited and Asia Plus Securities Co., Ltd., the importance of strictly adhering to the governing laws, the

Securities and Exchange Commission (SEC) is proposing amendment to the takeover regulations. The existing regulations require that people who make a tender offer for all securities of the business and related persons must submit hardcopy documents and also online documents through electronic system, which might cause burden on the private sector and it does not go accordingly with the technological change. SEC then proposes to amend processes related to the takeover regulations such as ca...

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital asset business, and the requirement that any business operator that cannot maintain its net capital...

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

organizing a unitholders’ meeting or through a letter seeking the unitholders’ resolution. As an alternative, asset management companies are allowed to seek a unitholders’ resolution if the unitholders

In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common regulations determining practices to propose agenda items by shareholders and to solicit proxies from shareholders. SEC, therefore, plans to issue regulations on these matters to promote uniformity in the practices.In a matter of the proposal of agenda items by shareholders under Section 89/28 of the...

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the