} was found colluding with other persons to trade RICH shares through 15 related persons? securities trading accounts during May 10 - July 31, 2007. The scheme had considerable impact on RICH share price

into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client.  In so doing, {A} failed to inform the

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found.   The issuers covered under the proposed revision are non-listed

shares has been launched at 1.25 baht per share, Bee has been found purchasing 1,017,500 EIC shares through the Stock Exchange of Thailand (SET) at 3.50 baht a share.  The tender offer will be closed on

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98

Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication