resolution on December 30, 2014, along with the transfer of work and personnel from the Office of the Agricultural Futures Trading Commission (AFTC). Vorapol Socatiyanurak, SEC Secretary-General said, ?The SEC
baht (consisting of civil monetary penalties, compensations for the benefits received or would have been received, and the reimbursements of investigative expenses incurred by the SEC) and prohibiting
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
determination of cornerstone investor as institutional investor would help to prevent share allocation to investors whose inappropriate trading behaviors may affect public confidence in the capital market
2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will
trading order or trading securities in such a way that misleads other persons regarding the price or volume of the securities trading and placing a securities trading order or trading securities on a
Act B.E.2546 (2003). In addition,the operation constituted public frauds and a violation of Section 343 of the Penal Code. DV Act S.16 and Section 343 of the Penal Code in conjunction with Section
Securities and Exchange Act B.E. 2535 (1992) (SEA) had imposed a fine on Lalana in the amount of 36,815,524.26 baht for manipulative trading by colluding with others in providing and using other persons
).Following a referral from the Stock Exchange of Thailand, the SEC?s further investigation has revealed that Somchai colluded or agreed with Chaninan Luangwaykin to use his own securities trading account or
Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account