Siam City Securities Co., Ltd., in using Somchai's and other persons? securities trading accounts to continuously trade AMC shares in concealment to mislead the public to believe that such shares were
Siam City Securities Co., Ltd., in using Somchai?s and other persons? securities trading accounts to continuously trade AMC shares in concealment to mislead the public to believe that such shares were
Analysts Association (IAA), the Thai Investors Association (TIA), the Thai Bond Market Association (ThaiBMA), and the Thai Digital Asset Operators Trade Association (TDO) – to launch the “Capital Market
and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended
Bangkok, February 29, 2012 ? The SEC and the Association of Investment Management Companies (AIMC) have been concerned over the irregular closing price on December 30, 2011 of Gold exchange-trade
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit