Bangkok, March 13, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Yongyuth Ngamkaiwan and Vorapin Ngamkaiwan for using inside information to sell Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way th...
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
warrants through the trading accounts of several other persons with whom he had close relationship. In this regard, Kunnatee, Apilas and Kriangkai assisted him with his purchases and clearing transactions
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions