of Special Investigation (DSI) for manipulating the share price of TWZ Corporation Plc . (TWZ) during the following periods: (1) September 28 to October 26, 2007, (2) April 28 to May 15, 2008, and (3

spot market, open trading accounts and trade through website www.goldexasia.com.  It was, however, found that there was no gold delivery while payments were not made in full for trading transactions

setting of the allowance for doubtful debts while the SEC investigation found that some assets have already been mortgaged as collaterals with other creditors since 2009;           3. NIPPON has not

was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further

an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

; accordingly, investors can use historical fund performance as guidelines for their investment decision making. The financial crisis may, nevertheless, impact mutual fund performance persistence during the said

fine not exceeding ten thousand baht for every day during which the violation continues. The SEC therefore filed a criminal complaint with the ECD Police against these firms and the related persons. In

offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No

he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact