Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
information for other persons to do the same; 1.3 Market Manipulation, divided into two types, namely (i) executing trading orders to mislead other persons about the price or trading volume of securities, and
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Bangkok, June 12, 2012 - The SEC today signed a Memorandum of Understanding (MOU) with the Financial Services Commission (FSC), the capital market regulator of the Republic of Korea (South Korea), to
filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the
orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market
inappropriate trading orders, in violation of Clauses 20(1) and 20(5) of the Notification No. TorLorThor. 3/2555; classified as prohibited characteristics of personnel in capital market according to Clause 6(1
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for