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
receive the SEC?s official letter. Information on the approval can be found on the SEC website ? www.sec.or.th; under topics ?Weekly News? for securities issuance and offering, and ?Mutual Fund Report and
suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded
spot market, open trading accounts and trade through website www.goldexasia.com. It was, however, found that there was no gold delivery while payments were not made in full for trading transactions