10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a

.  Investment Planner is approved to give investment advice to investors as well as to make an investment plan in conjunction with investment advice by using client information in an in-depth manner to support

Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical

Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry

caution when using services of securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset

.  Based upon these evidences, the SEC believed that Shine, Pataman and Supichaya had colluded to defraud other investors by making false appearance about trading in SLC shares using trading accounts and

Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also

Bangkok, 15 September 2017 ? The Civil Sanction Committee has imposed a civil sanction on Mr. Ravi Lohtong, director and executive of Siam Sport Syndicate Public Company Limited (SPORT), for using

repurchase scheme to the SET. As a result, the price of JAS stock increased. {A} sold off his Futures contracts and gained benefits from the transaction.Apart from using the non-public information, {A} failed

Thienhom, SEC Deputy Secretary-General said that "In case of using customer trading order report in substitution for order ticket, the document must be prepared according to the SEC circular No. SEC.Thor