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
. 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
Act of 1992 with the following offences: (1) For her responsibility over PICNI operations in 2004 when she jointly made changes to the contracts to let bottling plants owned by her families or under her
her by Mr. Woraphant Chontong, her father, who was a director, executive director and senior executive vice president of financial and administration division of Sino-Thai Engineering and Construction
Miss Nawarat Sukcharoensin Miss Nawarat Sukcharoensin, in collaboration with her brother (Mr. Surawut Sukcharoensin who was Director, Executive Director, and Chief Strategy Officer of L.P.N
audit firms of the SEC-approved auditors to allow OAG officers to observe their overseas branches. This collaboration will give OAG officers an opportunity to exchange knowledge and experiences on audit
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment