?s information disclosure system. Earlier, the auditor had, in accordance with Section 89/25 of the Securities and Exchange Act B.E. 2535 (1992), informed the company?s audit committee of the
and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
the case and found that from April 7 to 21, 2010, Swake had, via other persons? securities accounts, purchased 5,000,000 PLE shares in the manner that taking advantage of the others by using PLE
complaints lodged by a certain number of EPCO shareholders informing that they had not made the letters of intent to decline the tender offer which were attached to Form 247-4. After the SEC?s review of the
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the