into the case and found that from July 24 to August 26, 2009, {A} {B} {C} {D} {E} {F} {G} {H} {I} {J} and {K} had colluded to trade MILL shares through securities trading accounts of their own and other
(www.sec.or.th) under License Check banner. In case of suspicious unlicensed activities, please report the SEC at 1207 for further investigation," Vasant added.Previously, on September 2013, {A} was also named in
conversion prices are calculable by a formula based on future share prices; and 3) dilution effect calculation in case that all conversion rights will be exercised.?In the past years, we have witnessed uptrend
manipulating share price of Thai Plastic and Chemicals Plc. (TPC). With the referral from the Stock Exchange of Thailand on irregular trading of TPC shares by a group of persons, the SEC probed into the case and
questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young
into the case and found that from May 10th July 31, 2007, {A} in colluding with other persons had traded RICH shares through 15 related persons securities trading accounts to lure the public into the
, or service providers with at least five-years of related experience. In case of outsourcing to any other persons, the SEC?s prior approval is needed. The SEC?s consideration will focus on business
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
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
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was