SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

, namely (1) Ratchasak, Chairman and Chief Executive Officer, (2) Phongsak, Deputy Managing Director-Finance and Accounting, and (3) Siriporn, Business Development Director. They were found permitting or

and found noise trading risks in trading of securities on the SET. The finding suggested that non-fundamental factors highly influenced the SET Index; trading volumes, for instance. Whilst, the market

probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn, Nacharat and Thanatdej (or Jiraphoj) together with other 10 persons (one person died) colluded or agreed to trade

the ASEAN Economic Community Blueprint 2015 can be found at the ACMF website www.theacmf.org & www.asean.org.

damage to Bliss-Tel Public Company Limited (BLISS). The SEC found that Penkae and Tan, then holding position as BLISS investment board members having power to make securities investment decision and

damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity

inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the

of being overwhelmed by distracting giveaway information. Any advertisement found to be non-compliance with the guideline may be ceased or revised.  In addition, asset management company or seller may