take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to
financial statements by March 8, 2013. This was because the SEC found that the company?s management prevented the auditor from obtaining sufficient information and audit evidence necessary for reviewing the
the universe of financial products and services for investors.The regulations will emphasize on information disclosure and appropriate level of investor protection. Foreign companies intend to raise
Bangkok, November 26, 2014 - The SEC revealed that the Settlement Committee fined {A} {B} and {C}, as principal, along with two aiders and abettors, namely {D} and {E} for using inside information to
Bangkok, October 7, 2013 ? The SEC and the Agricultural Futures Trading Commission (AFTC) signed a Memorandum of Understanding (MoU) to cooperate in exchange of information on the derivatives
Mr. Yinganan Wongsiridej Mr. Yinganan, while he was a fund manager of the Sala@Sathorn Property Fund (SSPF), knew inside information that there was an offer from one company to purchase the main
. Sukrit Choradol. The sales were made in a way that took advantage of others by using non-public information material to DEMCO share price concerning the operating results for the third quarter of 2015
;), purchased 2,620,000 BIG shares by utilizing the non-public information he accessed by virtue of his position. Such information was the annual financial statement of 2015 operating results showed the net
3,858,100 BIG shares by utilizing the non-public information he accessed by virtue of his position. Such information was the annual financial statement of 2015 operating results showed the net earnings, which