. 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
securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com. The said actions were subject to an imprisonment from 2
gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor
amount of 33,339,500 baht for using inside information to purchase shares of Siam Makro Public Company Limited (MAKRO), and (5) Somsak Chiarawisithkul and (6) Areeya Asvanund at a separate, equal amount of
securities business operators and individuals before using their services or making investment decisions. In case of suspecious unlicensed securities business operation, please call SEC Hotline 1207 for
President from February to March 2011 with duties as head of fund managers responsible for supervising the equity funds managed by both companies respectively, had committed dishonest acts by using