Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

trading volume of MORE securities from normal market conditions, were liable to be a violation of Section 244/3 (1) and (2), in conjunction with Section 244/5 and Section 244/6 of the Securities and

orders at prices several notches above the market price, in order to entice other investors to follow suit and force trading of KDH shares within a set price range ("Pump and Dump"). The aim was to

causing the price or trading volume of MORE share to deviate from normal market conditions, which constitutes a violation of Section 244/3 (1) and (2) in conjunction with Section 244/5 and Section 244/6 of

  Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board's Meeting that the Board resolved to amend the underwriting rules and

Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board?s Meeting that the Board resolved to amend the underwriting rules and

. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market

increase from the IPO offer price. Such activities misled the public regarding the price and trading volumes, causing the trading price and volumes of DPAINT stock to deviate from normal market conditions

Currently, a significant volume of securities trading on the Stock Exchange of Thailand (SET) involves foreign investors, with most orders executed through foreign securities companies to Thai