concerning 2012 interim dividend payment and warrants to purchase CMO ordinary shares to be issued and allocated to existing shareholders for free. Following public disclosure of such information, he sold all
false or intended to mislead other persons about the financial condition or the share price of MLINK, now renamed as Ferrum Public Company Limited (FER). Following a referral from the Stock Exchange of
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
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
. The surging price of the offshore ETF at the close market on December 30, 2011, however, resulted in irregularly high domestic mutual funds? NAV. Following the incident, the SEC in January 2012
Stock Exchange of Thailand on 13 March 2017 and his statement at the press conference the following day when he reassured that the foreign borrowers were unrelated to him. As a result, he is liable to
drive up prices, and submitting buy orders during the pre-opening or closing periods to manipulate opening or closing prices. The specific instances of manipulation occurred during the following periods