Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

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

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...

realized losses, consistent with realization effect by Imas (2016).  Well-developed hypotheses. Well executed analyses.  Useful and interesting dataset.  Policy implications.  A few comments for

Equivalent to 100 baht per shares total 2,549,745 shares, in the total value of 254,974,500 baht 8. Payment The company will complete payment within 6 months after transaction date. 9. Benefit expected from

and ASCO, has worked on this project, aiming to achieve three objectives, consisting of Coverage: to expand the analysis on interesting  securities that lack research papers, such as companies in

corporate fund raising through bond issuance. The project will provide the business operators interesting in bond issuance with a forum to exchange views and experiences with institutional investors and for

investment. The SEC therefore urges those interesting in derivatives investments to deal only with licensed business operators to avoid scams and rip-offs. List of licensees is available at the SEC website

create confidence among investors using its services, by enhancing the ability to be prepared for and respond to cybersecurity threats (Cyber Resilience), the framework of oversight and interesting Cyber

Police at 0-2237-1199 for further legal proceedings.Supan Poshyananda, SEC Assistant Secretary-General said that ?The SEC urges those interesting in securities and derivatives investments to deal only with