violation of Section 307, 311, 312(2) in conjunction with 313 of Securities and Exchange Act B.E 2535 ("SEA").On June 28, 2011, the Southern Bangkok Criminal Court convicted Suradej Mookayangkul, the
gradually sold their holdings to realize profits.The actions of the four offenders constitute an offense of jointly manipulating share prices under Section 244/3(1)(2) in conjunction with Section 244/5(2)(3
action that led to the disclosure of such misleading information by PPPM.PPPM’s action constituted a violation of Section 240 of the Securities and Exchange Act B.E. 2535 (1992), subject to the
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in
that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
cases where reasonable grounds for suspicion exist. For example, where a securities company identifies unusual fund transfers into a customer’s account followed by transfers out on the same day, without
Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 130 of the Securities and Exchange Act B.E. 2535 (1992