inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
. The surging price of the offshore ETF at the close market on December 30, 2011, however, resulted in irregularly high domestic mutual funds? NAV. Following the incident, the SEC in January 2012
interests and prevent any potential impact that may arise following the blocking of the platform. In addition, the SEC urges the public and investors to exercise caution when using the services of
drive up prices, and submitting buy orders during the pre-opening or closing periods to manipulate opening or closing prices. The specific instances of manipulation occurred during the following periods
Stock Exchange of Thailand on 13 March 2017 and his statement at the press conference the following day when he reassured that the foreign borrowers were unrelated to him. As a result, he is liable to
Following receipt of clue information, the SEC conducted an investigation and found that since 12 January 2022, 1000X, the service provider of the website https://www.1000x.live (“1000x.live”), had
154.6 percent when compared to the year 2017 at 236.0 MB. Therefore, the Company would like to clarify the operating results as following essential information: Revenue In the year 2018, the Company and