?s subsequent probe showed reasonable evidence that in 2009 Bee Taechaubol, then IEC director responsible for the company?s operation and asset management, had violated his duties as a company director

derivatives business.Vasant Thienhom, SEC Deputy Secretary-General, said that "Following suspicious report from investors, the SEC's probe revealed that {X1} Co., Ltd. and {A} held themselves out as gold

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of

SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO

Special Investigation (DSI) on account of failure to perform duty in good faith causing damage to the company and siphoning company?s benefit through securities trading transactions. From the SEC?s probe

management to general public. Their activities involved advertisement, general solicitation and distribution through website www.sdc.us.com.The SEC?s probe revealed that Seandar Inc. and Matthew operated

Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading

indicating the client allowed {B} to make securities trading decisions on the client's behalf. In addition, OSK Securities probe further into the case and found that {C} failed to record several securities

and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such