the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

allowance for diminution in value of inventories, before such information became public on 25 February 2009. Patra had assisted Phaibul and Pongchalerm in selling such securities through her own account

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

CPALL. In this regard, 118,300 shares were purchased via the trading account of Korsak, and 5,000 shares via Piyawat?s trading account. In the case of Pittaya, 7,500 shares were purchase via his brother

securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the

account but failed to prepare and disclose report on change in her securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Sasavat later

COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the

allowing the trading account to be used for the YCI transaction in exchange for compensation. The public prosecutor issued a non-prosecution order. The case was final. SEC Act S.243(1) in conjunction