.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that
instructed Kanchana, an ex-ZMICO Senior Vice President, to acquire 172,400 shares of such listed company at 5.30-8.50 baht per share, on the Stock Exchange of Thailand through securities trading account of
, resources management, and oversights of stakeholders, e.g., securities issuers, securities companies, asset management companies, the Stock Exchange of Thailand (SET), auditors and credit rating agencies, etc
equity offerings both primary listing where foreign companies launch IPOs and become listed firms on the Stock Exchange of Thailand (SET) and dual offering where IPOs by foreign companies are launched in
According to the findings after a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, the offenders were divided into two groups, with details as follows
falsely said to be listed on the Stock Exchange of Thailand even though it has already been listed. The clients transferred money to his account for trading such shares, but he did not do so for the clients
) Prohibiting offering of all types of securities in accordance with the Securities and Exchange Act of 1992 in the case where the Stock Exchange of Thailand (SET) publishes a warning sign on any listed company
Exchange of Thailand. The client agreed to transfer money into Asia Wealth?s account and sent the transfer evidence to Jakkrit, who instead informed Asia Wealth that the deposit had been made by another
Exchange of Thailand regarding Amendment to the Regulations on Depository Receipts to allow DR to be bought in decimal point or Fractional DR (DRx).* The DR is a financial product linked to a foreign