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
The SEC has received, from the referral of Stock Exchange of Thailand (SET), the case presumed to be price manipulation of MORE shares. In addition, the ECD has received, together with related
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
With the case referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that the four offenders, namely (1) Mr. Win Udomrachtavanich, (2) Mr. Ratachai
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
instruments linked to the underlying securities only. 2. Following extension of trading hours for precious metal derivatives on Thailand Futures Exchange Plc., starting from 19.30-22.30 hrs. (night session