Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
trading while the client did not reject the transactions. Besides, intra-day trading orders of a listed company's shares were found where the buying prices were higher than the selling ones, causing the
SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was
Teratanavat, (3) Mr. Vijchu Chantatab, and (4) Mrs. Shanya Pengpunpat had collusively manipulated share price and/or trading volume of the Market for Alternative Investment (mai)-listed TIGER between 24-29
investors better. Key changes in the amendment include:- Expanding the payment amount of redeemed investment units on the unit trading day- Allowing asset management companies to fix the fund’s constant net
case may be, of a mutual fund; “trading day” means any of the days on which selling or redemption of investment units may take place, as specified by a mutual fund management company in a scheme; and
the net asset value of mutual funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s
funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s suspension order has been lifted
positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a