time of the incident was a major shareholder with more than 50% ownership and served as an advisor to SVI, was responsible for setting business strategies and attended important meetings of SVI. He was a

manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

specific business of MODERN while attending the Board of Executive Directors meeting. Such inside information supported the prediction that the net profit of the second quarter of 2016 would drop

information to sell the company's shares through the trading account of Ms. Benjamas Dhammarungruang. Both offenders paid civil penalties and compensation for the received benefits, at the total amount of 2.58

Exchange of Thailand (SET) and the SEC's further investigation, Sarath, TOG Vice President, Business Planning and Finance, had access to the information that the net profit of the company had increased

Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's

Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by