Public Company Limited (PDI). The offenders paid civil penalties and compensation for the received benefits, at the total amount of 1,917,895.83 baht.According to the referral from the Stock Exchange of
Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company
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
inside information to buy the company's shares. He was subject to a civil penalty of 500,000 baht, as a resultFollowing a referral from the Stock Exchange of Thailand (SET), the SEC conducted further
Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital
basis. The report must contain every securities trading order including non-matched order together with details on sending time, canceling time, number of shares and share prices. Moreover, the statement
EMC Public Company Limited (EMC).With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during October 16-18, 2013, Paiboon, then EMC Managing Director
Exchange of Thailand, the SEC?s further investigation has revealed that Witoon and the three other persons in the same group purchased GLOBAL shares and GLOBAL-W warrants and gained benefits from such
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
authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of