required by the announcement of Capital Market Advisory Board. 5. Listed company and its subsidiary must not have conflicts of interests (including conflict of interests toward directors, management or major
Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Tong Hua Capital Company Limited On 10 November 2022, Tong Hua Capital Company Limited colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price
Tong Hua Capital Company Limited During 18 July 2022 - 10 November 2022, Tong Hua Capital Company Limited colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE