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
) 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
normal market condition became affected during 9 January - 28 February 2013.Such offences were in violation of Section 243 of the Securities and Exchange Act of 1992 (SEA) in conjunction with Section 83
director? opinion for further consideration on each director ?s performance under the SEA. With respect to this transaction, the SEC closely coordinates with the Stock Exchange of Thailand (SET) in support
Industry; the Stock Exchange of Thailand; Small and Medium Enterprise Development Bank; the Bank for Agriculture and Agricultural Cooperatives; the Joint Standing Committee on Commerce, Industry and
) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information