Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
services to its customers by preparing and submitting a correction plan for maintenance of NC within 30 days and resolving such problem within 90 days, during which periods customers and stability of the
investigation, during 13 November 2015 - 12 January 2016, Prasert, Poramaporn and Narumon executed trading transactions of BA shares in group and on a continuing basis, and matched trading orders among themselves
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
institutional investors, fund managers, analysts and other stakeholders in the financial industry. During the conference, panel sessions also discussed capital markets connectivity, sustainable financing
damage to investors. During these transactions, SET, after having found such trading orders, had given warnings to four securities companies that provided trading service to Surin, but SET still found
several IOSCO’s working groups. The SEC Thailand was elected Chairman of the IOSCO APRC Committee during 2005-2008. This reflects the significance of the Thai capital market in the region as well as the
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares
in big volumes. Such trading manipulation took place during 10-27 September 2013, causing YCI price and trading volume to be inconsistent with the normal market condition. The wrongdoing was assisted
SCCC. SUPER publicly disclosed the information on the asset sell-off via the SET Information Disclosure System on 15 November 2012, but it was found that during 23 July ? 12 November 2012 Khumsup had