Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
out and paid to the unitholders at a price higher than the market price at the time. Chanyarat used the information above to buy UOB8TF units into her securities account during 20 August 2015 – 11
loss in the fourth quarter of 2016. Apichart then sold 3,529,800 ICHI shares in his account during 10 - 20 January 2017 before ICHI reported its financial statements for the year 2016 to SET on 23
made use of such information for purchasing, in collusion with Sommart, TIPCO shares through Sommart’s account before TIPCO reported such information to the SET on 18 February 2021.The action of