their licensed or registered scope of businesses by visiting the SEC website (www.sec.or.th). In addition, any persons who come across suspicious unlicensed activities can report the matter to the SEC
damage as a result.EMM Consulting is located at 24, Prime Tower, 12th Floor, Room B-2, Sukhumvit 21 (Asoke) Road, Klong Toei Sub-district, Wattana District, Bangkok.The said company and persons are not
trading period to be inconsistent with normal market conditions to mislead other persons that CHUO shares were in high demand at the time and lure them to trade such shares accordingly. His offense was in
during February 2 ? May 15, 2012, Bordin and Noparat had colluded or mutually agreed to use four securities trading accounts of other persons to trade PYLON shares in concealment to inflate the price and
or conspired with nine other persons to manipulate the price and trading volume of UMI shares by trading such shares continuously in concealment through several trading accounts to the point where the
penalties under Section 296 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter the settlement procedure, the Settlement Committee imposed fines on Choavalit
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
}, a securities investment consultant of the same company, did not record their clients? securities trading orders. The three persons admitted that they took large amount of orders via mobile phone in
692 million baht of net selling asset price proposed to the Fund is well below approximately 800 million baht of fair price of the assets in case of self-management or selling to other persons. In
actions, as aider and abettor, were in violation of Section 241 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter the settlement procedure, the Settlement