: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s
baht from such activities. Subsequent to the case mentioned above whereas Numkrit, Chalalai, Duangduean and Rosathorn are named in the criminal complaint the SEC has filed with the DSI, these four
from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed
Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months. In the case of {A}, the SEC found that he had taken trading orders
having been settled the case with a fine for such offence; (d) having been pending under charge or criminal proceeding by competent authorities for the offence under (c). (5) directors, managers and any
…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB
หน้าที่ได้มา และจำหน่ายในแต่ละกรณีด้วย (กรณีจำหน่ายให้แสดงจำนวนและราคาหลักทรัพย์ไว้ในวงเล็บ) 2. In case of a same-day acquisition and disposition of securities and derivatives, the total amounts and the