Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders
-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
help prevent negative impact on the stock exchange, securities companies and investors from the use of this program trading; but also, driving forward the Thai capital market development in line with our
prevent negative impact on the stock exchange, securities companies and investors from the use of this program trading; but also, driving forward the Thai capital market development in line with our
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further examination, there was evidence that 13 persons, namely: (1) Mr. Suraphong Triamchanchai, (2) Nippon Pack