major shareholder, sold the shares in his personal trading account during 3-26 October 2012 at the total amount of 576,000 shares. The misconducts of the four offenders violated Section 241 and liable to
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
to the continuing loss in previous quarters. Ravi used such inside information to buy 1,479,700 SPORT shares through the trading account of Lohtong Holding Co., Ltd. before the company publicly
shares by using the company?s undisclosed information concerning a deal on large disposal volume of SLC shares by its major shareholders and executives to a new investor and subsequent changes in the
Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to