Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
other persons? accounts to purchase and sell AMC shares in concealment and on a continual basis during 13 September ? 16 November 2006 to mislead the general public to believe that the AMC shares were
delay.According to the auditor?s report, accounting policies were improperly used in the annual financial statements for the year 2014, whereby Smart Traffic Co., Ltd., an EIC affiliate, failed to record allowance
into the trading. The actions of Sermkirt, Wichian and Pratheep were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) in conjunction
consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and
and lease back of premises categorized as operating lease in the annual financial statements. The SEC is of the opinion that the above transactions were in fact a collateral loan, not an outright