เนื่องจาก ก.ล.ต. ได้รับการสอบถามจากผู้ลงทุนจำนวนหลายรายซึ่งมีข้อสงสัยหรือถูกชักชวนให้ลงทุนกับ FX Trading Corporation โดยพบการเผยแพร่การประชาสัมพันธ์ผ่านสื่อสังคมออนไลน์ Facebook ในลักษณะที่อาจ
with the amendment to the Securities and Exchange Act. SET member and non-SET member securities firms will be allowed to trade listed securities outside the stock exchange only a case that trading is
derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet