Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
volumes. Such behaviors took place during 25 – 31 August 2515 (including five business days) and during 19 – 21 October 2015 (three business days), misleading the general public into believing that during
Thiratanaphokin, (27) Mr. Prasit Siriyaowon, (28) Mr. Somkiat Intasara, and (29) Mr. Surat Arsirawat, colluded to manipulate the price and/or trading volumes of DPAINT on 28 October 2024, its first trading day on
price and/or trading volumes of COMAN stocks during 24 May – 18 June 2021. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
without his client's orders. Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares