} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone

via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those

November 11, 2014 Charin, then PAP independent director, arranged a sale of 147,000 PAP shares in which he had a stake held in the trading account of another person. In so doing, he took advantage of the non

SEC took into consideration public comments and suggestions gathered from the previous hearing on the principles of the PO rules in October last year.The consultation paper is available at www.sec.or.th

the aforesaid revisions took place in November last year.The consultation paper is available at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website or

. Sukrit Choradol. The sales were made in a way that took advantage of others by using non-public information material to DEMCO share price concerning the operating results for the third quarter of 2015

Bill of Exchange (B/E) due at the end of the year 2016. Such knowledge was considered as a material fact negatively affecting the price of IFEC securities. He took advantage of other investors by

. Watcharachai took Miss Supatchari and Mr. Sitthichai to withdraw cash from their accounts and brought cash back to Mr. Werawat. 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty

/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5347&SearchNo= Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009 company is licensed to operate derivatives business. Later, the company took possession of

operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th