by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case
Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98
her choice for his or her comfort in the translation accuracy. Additionally, the statement must be certified by the interviewee in every process. In case of Mr. Nielsen, he brought his own translator
addressed a concern on legal issues in case where the foreign bank branches in Thailand encounter financial hardship and the assets located in Thailand are not adequate to cover the repayment of all
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
introduced under the revised regulations enabling the issuer to make several offers for sale of debt securities by simply filing securities? features and additional information in case of the event affecting
Limited (ESTAR) for insider trading.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during February 24-28, 2014, Ratanachai had used another person?s
EMC Public Company Limited (EMC).With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during October 16-18, 2013, Paiboon, then EMC Managing Director
, the SEC filed a criminal complaint with the Department of Special Investigation against Somchai. He was later imposed a criminal fine of the said amount of 500,000 baht instead. In the case of Chaninan