purchasing demands when the securities price is lower than the offering price, and if the securities price is higher than the offering price, the amount of securities eligible for trading may increase.” Remark
perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the
mentioned above – having business relationships and/or direct personal relationships or connection through related persons – collaborated and sent trading orders of shares of Nation Multimedia Group Public
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
trading activities of one group of individuals. According to the SEC’s further investigation, there was sufficient evidence showing that on 7 and 17 November 2014 Thanadej, Naruedee, Nitis and Winyoo had
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
. Sommart Dhupchinda to commit offense in using Mr. Sommart's securities trading account to purchase TIPCO shares in such a way as to take advantage of other persons before TIPCO disclosed the inside
extraordinary payment and the highest rate of payment in five years. Subsequently, they commit offense in using Mr. Sommart's securities trading account to purchase TIPCO shares in such a way as to take
price at that time. Subsequently, Mr. Worawoot colluded with Miss Patcharapat Tongwaen to commit offense in using Miss Patcharapat’s securities trading account to purchase COL shares in such a way as to