companies were also required to submit their Q1/2015 financial statements urgently. Also, AIE must submit the opinion of audit committee on internal audit report concerning cost of sales and inventories which

quarter of 2018 would show a great decrease in profits. She sold out 314,500 of UVAN shares that were held under the trading account of Amornrat to avoid loss before UVAN submitted its financial

, no one had made any investment following the solicitation by such scheme.In the case of Lederer (Thailand) and its authorized director Kanyakorn, investors were persuaded to make an investment at the

, seven applicants* submitted an application for a digital asset business licence under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018); four of them were granted a licence, and two

result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying

bank accounts of nine persons, namely Pataman, Supichaya, Meesak, Apinunthakan, Tepparit, Tree, Phawit, Siriya, and Chanatip.  Trading from these accounts were sent and matched within the group in the

and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on

services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation

error port without  record and evidence of clients? trading orders. Meaunchit admitted that a number of  clients had contacted her through mobile. Meaunchit?s actions were deemed trading securities for

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities