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
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
According to a case referral from the Stock Exchange of Thailand (SET), it was revealed that TRC executives had known or possessed inside information, as expressed in the auditor’s opinion, about TRC
forces when necessary. The goal is to improve prevention and enforcement efforts against unfair securities trading practices, embezzlement, fraud, and financial misconduct under the Securities and Exchange
insider trading of COL shares while knowing or possessing inside information were deemed a contravention of Section 242(1) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with