and found that during March 18 ? October 9, 2008, Boonchai, TYM Managing Director and major shareholder, Boonchoke, TYM major shareholder, Vallaya, Pichai, Duangruethai, Prasong, Pattanuch, Luckkana (or
probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn, Nacharat and Thanatdej (or Jiraphoj) together with other 10 persons (one person died) colluded or agreed to trade
damage to Bliss-Tel Public Company Limited (BLISS). The SEC found that Penkae and Tan, then holding position as BLISS investment board members having power to make securities investment decision and
). According to a referral from the Stock Exchange of Thailand and the SEC?s further investigation, Chayanont was found to have traded CHUO shares continuously during 28 April ? 30 May 2014, in such a way that
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
referral from the Stock Exchange of Thailand, the SEC probed into the case and found that on September 16, 2013, {A} had traded 130.12 million SSI shares by placing a total of 299 trading orders through
for NAV calculation.It was found that the calculation of NAV of domestic mutual funds investing in the offshore ETF based on such offshore fund?s closing price was in line with international standard
} and {C} for aiding and abetting {A}'s wrongdoing.With the referral from the Stock Exchange of Thailand (SET), the SEC probed into the case and found that during November 16 - December 7, 2010, {A}, then
decisions and informed the client afterward. The {B} case was in response to a complaint lodged by a client. The SEC looked into the conversation records between {B} and the client and found that she was
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office