Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the

December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

therefore imposed the following sanctions:             (1)  Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15

and a private fund manager, had collusively planned and conducted, with divided assignments, the manipulation of price or trading volume of TIGER shares, with the assistance of Shanya, Investment

The Securities and Exchange Commission (SEC), in collaboration with the United Nations Development Programme (UNDP), co-organized a training session titled “SDG Guidebook for Thai Listed Companies

SEC files criminal complaint against 15 alleged offenders on account of price manipulation of 12 securities Bangkok, May 8, 2012 ? The SEC today filed a criminal complaint against 15 alleged

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed

Mr. Narathip Lohawaroj Mr. Narathip Lohaweroj, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced

Mr. Torpong Thammasombut Mr. Torpong Thammasombat, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd