Criminal Code. A referral from the Stock Exchange of Thailand stated that irregularities in the trading of FOCUS shares had been detected in relation to trading activities of a certain group of persons. The

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

Bangkok, June 11, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 15,469,345.62 baht on (1) Boonchai Jirapongtrakul, (2) Boonchoke Santuchpanit (or Thiratarakorn), (3) Vallaya

Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using

Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

Bangkok, April 24, 2013 ? The SEC revealed that the Settlement Committee imposed a total fine of 28,472,689.29 baht on Choavalit Limpanich, Yanyong Nitisaroj, and Ziriwat Anunkusri, for purchasing

inspection that {A}, a capital market investment consultant of Phillip Securities, failed to record his clients? securities and derivatives trading orders. {B}, a capital market investment consultant, and {C

from Krungsri Securities PLC., the SEC probed into the case and found that Atthapol submitted trading orders for the client?s securities trading account through IP address of Krungsri Securities during

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

and experiences among experts to keep up with development of accounting principles having effect on financial information disclosure. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar