Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined

according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that

market investment consultant for a period of three months. Taking into account that he has already been suspended by his employer for one month, the suspension imposed by the SEC shall therefore be reduced

Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a

price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP

Mr. Kiatichai Monsereenusorn During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT

Mr. Suraphong Triamchanchai During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share

Mrs. Kingkarn Smitananda During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to