Thailand (SET), the SEC?s further investigation has revealed that during 28 August 2012 ? 30 October 2012, TIP?s executive, major shareholder and related persons used nonpublic information that would affect
Department of Special Investigation (DSI) for further legal proceedings.Their actions were in contravention of the first paragraph of Section 281/2 in conjunction with Section 89/7 of the Securities and
, respectively, to lure the investing public into their businesses.The aforesaid acts are deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546
investigation and found that Ravi had taken advantage of the information on SPORT's operating results for the third quarter of 2015. The information became known to him by virtue of his position as the company's
duties honestly and seeking unlawful benefits from derivatives investment based on non-public information.Following the SET's referral, the SEC conducted a further investigation and found that {A}, then a
investigation revealed that Phaibul while served as UMS Chairman and executive director, Pongsachalerm as director and executive director and Chaiwat as managing director and executive director, had sold UMS
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
company accounting period. TTA will examine whether the shareholders? request and shareholding of each requesting shareholders is accurate before proceeding in accordance with relevant laws and
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the