The Office of Securities and Exchange Commission (SEC) has been notified by the Stock Exchange of Thailand about the artificial appearance of ACD shares during the end of year 2014 causing by the
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
guidelines in detail regarding the consideration of cases involving severe legal violation or causing severe and significant effects.In addition, the amendments to the IPO regulations apply to both Thai and
), with the intention to impersonate and claim that their investment solicitations have been approved by the SEC* or the aforementioned organizations, causing considerable harm to the public. The SEC
' securities trading accounts. They traded UKEM shares in concealment on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing
manager, failed to supervise his subordinates ({B}, {C} and {E}) in performing their duties causing the aforesaid wrongdoings in violation of law on securities and exchange and relevant rules; classified as
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading; and (2) From