deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and

deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders.  Following a report from Bualuang Securities PLC., the SEC further probed into the case

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

for one year from September 22, 2011. The order has been issued after the SEC?s finding indicated his audit mistakes and failure to comply with the auditing standards in peforming the audit of Nippon

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

for compensation of damage for one year, at the total amount of 1.75 billion baht, or in case of failure to claim for damages from the seller, MACO Board of Directors views that Hello Bangkok Holding

Miss Sugunya Sukjaroenkraisri Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (ACAP), shall be liable for ACAP?s failure to