complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
Group Public Company Limited (TOG). The offenders paid civil penalties and compensation for the received benefit, at the total amount of 4.83 million baht. According to the referral from the Stock
as a chief legal counsel for KARAT?s takeover deal before it was publicly disclosed.Following the results from the investigation on the trading of Grand Asset Development Plc. ("GRAND") shares in 2006
identified, e.g., profits generated from normal business operation with potential recurring in the following years as opposed to those from speculative transactions during economic upturn such as profit from
{A} for executing their trading orders.{A} later resigned from Globlex to work for KTB where she made trading orders in the derivatives accounts of several clients who had given her their usernames and
thus help prevent the retirees from using up all retirement savings. Duangmon Chuengsatiansup, SEC Assistant Secretary-General, said the SEC encouraged all asset management companies to set up post
company proposal to decrease the purchase of shares of Andaman Power and Utility Co., Ltd. (APU) from 100%, worth 340 million baht, to not more than 75% where the payment shall be in proportion to the
, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
securities market investment consultant of the same company for trading securities on behalf of client.Following a customer complaint against {B} and {A}, as well as a report from RHB OSK Securities (Thailand