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

diversification through sophisticated strategies and innovative financial instruments. All facts, opinions and suggestions garnered from the survey will be taken into account in determining appropriate

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

generally have high failure rate. Figure 2: Proposed regulatory approach for ICO, comparing to other regimes • Since the proposed regime for ICO is for sophisticated investors and retail investors with an

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

Mr. Wattana Chaiwat Mr. Wattana Chaiwat, a Managing Director for the operation of LDC Dental Public Company Limited ("LDC"), shall be liable for LDC?s failure to prepare and submit the