through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading

SEC files criminal complaint against three alleged offenders on account of failure to perform duty in good faith causing damage to the company Bangkok, April 23, 2012 ? The SEC today filed a

. Their financial and stock transactions were interconnected, while Mr. Suthee was also authorized to place trade orders in Mr. Peeranut’s securities trading account. During the incident period, Mr. Suthee

: The President of The Stock Exchange of Thailand M Pictures Entertainment Public Company Limited (the Company) would like to submit the Year End Financial Statement ended December 31, 2016 which was

inside information to trade CMO shares along with failure to report the changes of his CMO shareholding and launch a tender offer for CMO shares.With the referral from the Stock Exchange of Thailand, the

another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months

E280218 Our Ref: TL001/18 February 28, 2018 The Stock Exchange of Thailand 93, The Stock Exchange of Thailand Building Ratchadapisek Road, Dindaeng Bangkok 10400 Attention: The President Dear Sir

According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that during 4 - 22 December 2014, 13 persons colluded to manipulate the price of

, 2013.With a referral on the {A} case from the Stock Exchange of Thailand, the SEC probed into the case and found that {A}, then Senior Vice President Retail Sales 1 of Siam City Securities Co., Ltd., had

E141117 Our Ref: TL034/17 November 14, 2017 The Stock Exchange of Thailand 93, The Stock Exchange of Thailand Building Ratchadapisek Road, Dindaeng, Bangkok 10400 Attention: The President Dear Sir