manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the
แผน Portfolio Advisory และ Program Trading ได้ โดยไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ประเภทจัดการกองทุนส่วนบุคคล หรือผู้จัดการเงินทุนสัญญาซื้อขายล่วงหน้าตามลำดับ ซึ่งหลักเกณฑ์ดังกล่าว มีผลใช้บังคับ
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
According to referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during January - February 2017 Apichart Sukjirawat, Assistant Managing Director in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating loss in the fourth quarter of 2016. Apichart then sold 3,529,800 ICHI shares in his account during 1...
Bangkok, 28 February 2019 ? The SEC has updated the list of cryptocurrencies eligible for initial coin offering (ICO) investment or value comparison as base trading pair against other digital assets
Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has therefore requested the public prosecutor in writing to file a lawsuit against Mr. Thanawat in the Civil C...
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company
Bangkok, 21 September 2016 ? The Criminal Fining Committee has imposed separate fines on three offenders involved in false statement and insider trading of Rasa Property Development Public Company
Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders