securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
advantage of the auditor?s report before making investment decisions and be able to apply it appropriately for stakeholders? best interest and the sustainable development of the reilable financial reporting
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
application for business rehabilitation. If such information is inaccurate, it may significantly affect the rights of the securities holders or shareholders or investors? decision-making. By virtue of Section
institutions and debt instrument issuance as its funding sources for making advanced payments and purchase deposits. The value of such transactions has increased significantly from 2015 by a 58 percent increase
company?s business which was deemed as material information for investors? decision-making. He also failed to review the information on compensation paid to two directors of issuing company, resulting in
which included inflating and controlling share price; making opening and closing prices; and matching orders within the group. These persons also traded MILL shares on a continual basis to induce
a brighter future for our country by making a declaration of intent coalition against corruption with CAC as well as applying for admission to CAC membership.? Vorapol finally said. NOTE: Thai
subscription price. Both cases may therefore affect the benefit of securities holders and investors? decision-making.
action by placing trading orders through other persons? trading accounts and making payment for such transactions.Swake?s action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535