Teratanavat, (3) Mr. Vijchu Chantatab, and (4) Mrs. Shanya Pengpunpat had collusively manipulated share price and/or trading volume of the Market for Alternative Investment (mai)-listed TIGER between 24-29
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
five individuals committed offenses related to insider trading in TKN shares using undisclosed information they knew or possessed that positively affected TKN’s share price—specifically, TKN’s Q3/2022
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
Based on a referral and the SEC’s further investigation, it was found that on 15 October 2021 OKX provided services for a digital asset trading system, facilitating the trading and exchange of
According to the SEC’s findings, XT .COM has provided a digital asset trading system to facilitate trading and exchange of digital assets while charging fees. Additionally, it has promoted and
arranging a trading system to facilitate digital asset trading with a fee collected at the rate of 0.1 percent of the customer’s trading value, had solicitation and advertisement in the Thai language to