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...
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
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading
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, December 4, 2012 ? The SEC organised training programs for both the SEC staff and capital market personnel to keep pace with new securities and derivatives trading methods and prepare them
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet