person, sold 3,450,000 {X1} shares in his daughter's trading account. He was a {X1} advisor who had accessed to the information on company projects which generated revenues. When becoming {X1} president
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
warrants through the trading accounts of several other persons with whom he had close relationship. In this regard, Kunnatee, Apilas and Kriangkai assisted him with his purchases and clearing transactions
Bangkok, December 4, 2012 ? The SEC organised training programs for both the SEC staff and capital market personnel to keep pace with new securities and derivatives trading methods and prepare them
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the