Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
warrants through the trading accounts of several other persons with whom he had close relationship. In this regard, Kunnatee, Apilas and Kriangkai assisted him with his purchases and clearing transactions
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities