securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
AIRA Securities Public Company Limited's report and the SEC's further investigation, he was found to have given investment advice on specific securities at a seminar and via Line application based on his
trading volume to be inconsistent with the normal market condition, the SEC probed into the case and found that Prasong as the owner and beneficiary of 14 securities trading accounts of foreign juristic
entitled to revenue sharing around 1,120 million baht.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that Sunthorn had attended the negotiations between SOLAR
shares, the SEC probed into the case and found that ?(1) From September 13 to November 16, 2006, Somchai Chaisrichawla had colluded with Chaninan Luangwaykin, then Senior Vice President Retail Sales 1 of
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
. Following a referral from the Stock Exchange of Thailand (SET), the SEC probed into the case and found that on September 23, 2009, Chutchapong, then deputy managing director and director of SLC, had sold SLC