suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted

create artificial prices or trading volumes for ECF shares, with the intent to distort the price or trading volume from normal market conditions. In this regard, (17) Mr. Suppharoek Kwaennoi assisted or

regulatory and supervisory framework of the Thai capital market are enhanced to be among those of the leading countries. Under the PFMI assessment, the SEC has received fully observed in all supervisory areas

Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information

Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng

received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties

accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's

prices in the approximate periods that caused the client to suffer loss, eventually. {A} received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on

investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment