Bangkok, 21 September 2016 ? The Criminal Fining Committee has imposed separate fines on three offenders involved in false statement and insider trading of Rasa Property Development Public Company
proprietary trading will also be required to prevent impact on the business operator?s financial condition and reputation. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
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
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
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
(13) Mr. Nattapon Chalermpot – all appeared to have relationships with one another – had engaged in trading activities of FVC stocks, exhibiting a pattern of trading in mutual awareness or agreement
manipulation and insider trading, AMLO will work closely with the SEC, which directly regulates these securities companies and provides AMLO with detailed information on such offenses. AMLO also receives
shares through the trading account of Patcharapat before COL disclosed such inside information to the SET on 14 September 2020*.The actions of both individuals above in the manner of colluding in the