Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's authorization, consequently causing damage to the client. She was working for Globlex Securities Co.,...

doing, the association must acquire a license and register with the SEC. The SEC supervises the operation of the associations to ensure that the association oversees the members, and carries out the

.  SEC Anti-Corruption Policy  To assure that the SEC carries out the duties with integrity, transparency and corruption-free, all board members, executives, and staff are obligated to comply with the

public interest. While the nature of an auditor oversight body and the process through which it carries out its activities may differ among jurisdictions, IOSCO believes that effective oversight generally

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aforesaid conducts of the authorized directors of Lederer (Thailand) Company Limited was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of

) director, executive or controlling person of a digital token offeror; (2) a digital token offeror’s staff member or employee who holds the position, or carries out the work, with responsibility for or having

employee who holds the position, or carries out the work, with responsibility for or having access to inside information; (3) any person who, in his or her capacity, may have access to inside information by

contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor

contact” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor