September 2013, Mr. Siwasit Sainumphung colluded with the five persons above to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing
subsidiary (JJ) in the amount of B500 million, grants of the loans to several connected persons totaling B350.55 million, the B119.98 million purchase of additional JJ shares from Mr. Chakrapan Srikraivin, the
defendant, for his contravention of Section 307, 311, 312(2) and 313 of the SEA. Defendant?s wrongful acts involved in several distinct and different offences and shall be penalized based on counts in
and several institutions in the capital market, such as the Stock Exchange of Thailand, Thai Listed Companies Association, Association of Thai Securities Companies, Associations of Investment Management
(Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the client's securities account without client?s order and resulted in the trading loss. In addition, several
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
Bangkok, March 22, 2016 ? The SEC is seeking public comments on the proposals to amend several provisions of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and the Provident Fund (PVD) Act
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
} had submitted some trading orders and later asked the client to re-submit those orders via the phone recorder. Moreover, several transactions showed that the securities were traded intra-day at the
contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client