the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities
. He also claimed that the share issuer would increase capital shares and be allowed to resume trading on the Stock Exchange of Thailand. The client was interested in such deal but only had money for
accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
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
74000,Thailand. held by BGP Spectrum ( representing 90 percent of PCCA’ s registered capital) , whereby the Subsidiary shall pay for the transfer of the entire business in the amount of THB 297,000,000 in
shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS. (3) transferred money through the requests of capital increase, a