Institution Problems” means a person who makes decisions to invest in real estate or leasehold right, select or propose to the unitholders or his designated person who makes decisions on investment in real
Problems” means a person who makes decisions to invest in real estate or leasehold right, select or propose to the unitholders or his designated person who makes decisions on investment in real estate or
in Capital Market Industry dated September 15, 2010. The SEC therefore revealed his inappropriate behavior for failing to keep records of investment advice and clients' trade order instructions. In
Bangkok, July 31, 2013 - The SEC suspended three investment consultants of ZMICO Securities Co., Ltd; two-month suspension on {A} and {B}, and one-month suspension on {C}. In this connection, the
trading such share which was not consistent with normal market conditions in order to lure general public to trade such share. SEC Act S.243(2) Settlement Committee Meeting No. 3/2016 Settlement
Mr. Soonthorn Boonnueng Mr. Soonthorn Boonnueng as the Director responsible for the operation of Bill Trade Co.,Ltd operated securities brokerage businesses without proper licenses granted
information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311
Phra Suthep Arpassaro (Panpai) During November 2009 to March 2011, Phra Suthep Arpassaro (Panpai) colluded with and Ms. Sopana Janeborvorn and Mrs. Vachala Pisitsak in committing dishonest acts by