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

Bangkok, September 16, 2008 ? Following the Stock Exchange of Thailand?s steep fall today due to investors? concerns over troubled US financial industry, the SEC would like to inform that the failure

In the current context of business rehabilitation, there is a more diverse range of guidelines for restructuring debts or funds of Rehabilitation Listed Company. Therefore, to ensure that the regulations for offering for sale of newly issued securities align with the current restructuring frameworks and that the rehabilitaion process is flexible and expedited, with disclosure criteria and appropriate investor protection measures in place according to the investor types, the SEC is proposing to a...

The SEC, having been informed of the progress of the company’s plan for fund raising with the new investors in which a business rehabilitation petition must be filed with the Court, has instructed Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about material information in line with the requirements under the Emergency Decree on Digital Asset Bu...

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