Siam City Securities Co., Ltd., in using Somchai?s and other persons? securities trading accounts to continuously trade AMC shares in concealment to mislead the public to believe that such shares were
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
Bangkok, August 8, 2013 ? The SEC ordered Millcon Steel Plc. (MILL) to arrange a special audit by either the auditor who audited the company?s 2012 financial statements or any other auditors on the
back office possessing important information of funds and customers will be allowed to outsource only to the business operators? subsidiaries or financial institutions. Outsourcing to other licensed
the case and found that from April 7 to 21, 2010, Swake had, via other persons? securities accounts, purchased 5,000,000 PLE shares in the manner that taking advantage of the others by using PLE
certain group of persons had their trading orders, on a continual basis, executed through trading accounts of other persons to lure the public to trade such shares as well while in fact the persons who
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
the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities
alternative, the SEC will revise the regulations to determine investment proportion in infrastructure fund?s investment units in line with risk diversification criteria applicable to other assets as follows:? A
business operators from responsibility in the outsourced activities.The business operators will be allowed to outsource the activities to any other business operators without seeking for the SEC approval but