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

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

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

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

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

pending settlement transactions such as penalty fee in lieu of securities delivery or penalty fee for failure to obtain benefits is allowed to maintain balance in a Non-resident Baht Account for Securities

Liquidity risk is defined as the risk caused by a failure to obtain sufficient funds at appropriate costs to meet obligations when they come due, and/or an inability to convert assets into cash. Liquidity in

Committee and the Board of Directors. 17  Liquidity Risk Management Liquidity risk is defined as the risk caused by a failure to obtain sufficient funds at appropriate costs to meet obligations when they

The auditor expressed a qualified opinion on COMAN’s interim financial statements for the second quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence

smart contracts) to the outsourcee. However, the ICO portal must obtain approval from the SEC before outsourcing any tasks related to such due diligence. The SEC Board has also approved the proposal to