causing the price or trading volume of MORE share to deviate from normal market conditions, which constitutes a violation of Section 244/3 (1) and (2) in conjunction with Section 244/5 and Section 244/6 of

The Securities and Exchange Commission (SEC), represented by Ms. Jomkwan Kongsakul, Deputy Secretary-General, received the “Winner of the Sauciest AI Governance Powered by ETDA” Award at the

-organized a seminar on “Class Action Case Proceedings” to share knowledge about class action to interested parties and provide assistance to those adversely affected in the capital market due to violation

record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a  report

most recently, the Growth and Emerging Market Steering Committee. The SEC has placed importance and played active roles in various IOSCO projects and implementing the IOSCO principles and standards.  The

against RAM documents arranged for RAM by arranging for RAM to sell its acquired shares of Kiatnakin Bank Public Company Limited (“KKP”) to his related persons at a price significantly lower than the market

Civil Penalty Committee as follows :     - a compensation of the benefit received from committing the offense in an amount of 1,383,500.00 Baht