client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
high yield investment via social media, it was found that Marnfah Group and its authorized director Ornpaphat Chantarasaka had solicited the public to make an investment with the company based on a
SCCC. SUPER publicly disclosed the information on the asset sell-off via the SET Information Disclosure System on 15 November 2012, but it was found that during 23 July ? 12 November 2012 Khumsup had
company.This case was a referral from the Stock Exchange of Thailand and auditor?s opinion. The SEC?s further investigation found reasonable evidence indicating that the acts of Amnat, Shine and Kittichai were
investigation and found that Ravi had taken advantage of the information on SPORT's operating results for the third quarter of 2015. The information became known to him by virtue of his position as the company's
duties honestly and seeking unlawful benefits from derivatives investment based on non-public information.Following the SET's referral, the SEC conducted a further investigation and found that {A}, then a
of Directors had found that the liabilities incurred from the B/E issuance in the fourth quarter of 2015 did not appear in the company's financial statements. Such circumstance caused KC financial
clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been
documents indicated that its total revenues relied on six major counterparties, accounting for 49 percent of total revenues from sales and services. It was found, however, that 30 percent of the applicant?s
Rehabco sector so as for the company to resume its sectoral trading in 2008. In this regard, the DSI and the SEC cooperatively took further investigation and found more evidence leading to three more counts