SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
said: “This is an insider trading case proceeded under civil sanction, filed with the Civil Court on 27 December 2018 and the Appeal Court passed the final rulings on 22 December 2020. If the defendant
pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering Act B.E
subject to pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the
lawsuit against those six offenders in the Civil Court for imposition of the maximum applicable statutory penalties comprising a fine of 68,456,936 baht plus interest, a suspension of trading in
Teratanavat, (3) Mr. Vijchu Chantatab, and (4) Mrs. Shanya Pengpunpat had collusively manipulated share price and/or trading volume of the Market for Alternative Investment (mai)-listed TIGER between 24-29
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
, trading such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are