investigation revealed that Phaibul while served as UMS Chairman and executive director, Pongsachalerm as director and executive director and Chaiwat as managing director and executive director, had sold UMS
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
, shareholders holding aggregate amount of at least 5% of total voting rights are entitled to propose agenda for shareholders? meeting prior to the meeting date.For the SEC investigation on TTA, all relevant
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
country regulators are able to provide assistance in investigation and the exchange of information relating to violation of securities law;- At least two directors must be Thai nationals and reside in
333,333.33 baht for aiding and abetting in the aforesaid insider trading. According to a referral from the Stock Exchange of Thailand (SET) and the SEC?s own investigation, the aforesaid individuals from (1
he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact
criminal complaint with the Department of Special Investigation (DSI) against Shisiro, Pisan and Kanchanok (or Natchaporn or Rassarin), for falsifying documents and accounting records in the DAIDO financial
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts