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,...

Association of Securities Companies (ASCO) agree that such research should contain complete, useful information for investors to make sound judgments. Thus, ASCO members are asked to provide such material

regarding securities trading. The case was subject to a civil sanction, was filed with the Civil Court, and was the first legal case adjudged by the Court’s final decision. The whole process, from the

with power in whole or in part in the management of the company 5. changing in credit rating of the issuer’s debt securities 6. expanding the amount of debt securities to be offered under the MTN Program

relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized

shares, which include but not limited 1) considering the offering for sale and allocation of the newly issued ordinary shares whether in whole or in part and whether in a single offering or multiple

whole project to be as complete as possible, Which is necessary to use the investment budget in the decoration category increased and from the postponement of the service from the end of the year 2019 to

supervision, the SEC requires all auditors in the capital market work with audit firms having quality assurance systems and expects to complete examination on audit quality of all 26 audit firms within this

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited