who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
Bangkok, July 3, 2012 ? SEC Secretary-General Vorapol Socatiyanurak revealed after a Q2/2012 meeting with the Association of Thai Securities Companies (ASCO) that the SEC and ASCO agreed on quality enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles to seek proper solutions.ASCO came up with a quality enhancement plan for investment analyst...
Bangkok, September 10, 2013 ? The Securities and Exchange Commission (SEC) and the Association of Investment Management Companies (AIMC) agree on introducing investment risk management guideline and due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s investment risk management guideline and due diligence checklist before investing in complex finan...
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...
: Push to the Limit, Stop the Corruption,” featured exhibitions showcasing anti-corruption efforts across various sectors, raising awareness and anti-corruption commitment performances. The ceremony took
prices, quantities, and times, resulting in matched trades among themselves. They also submitted buy orders at multiple price levels to obstruct other investors and push the price of AKP shares upward
relationships, direct or connected through related persons, – had colluded, with divided assignments, to send trading orders of STAR* shares in a consistent and supportive manner so as to push up the share
trading orders in a consistent and supportive manner so as to push up the share prices through splitting orders, matching orders among themselves, executing orders in a manner of obstructing trading
share price manipulation during 27 March – 28 May 2018, such as accepting the best bid offers, executing bid orders with a small volume of shares to push up the share prices, matching trading orders among
letter of consent. However, the company failed to fully make the required payment accordingly. The SEC has therefore submitted a request to the public prosecutor to file a petition with the Civil Court