their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the

SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders.  As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...

providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose

/Pages/ABOUTUS/SEC_VUTTIKRAI.aspx English (United States) CorruptionFAQ company who fails to perform his duties with responsibility, due care and loyalty.) Section 305  (Person who damages, destroys

perform his duties with responsibility, due care and loyalty.) Section 305  (Person who damages, destroys, conceals, any property or document which the competent officer has seized https://www.sec.or.th

company who fails to perform his duties with responsibility, due care and loyalty.) Section 305  (Person who damages, destroys, conceals, any property or document which the competent officer has seized