Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. SEC Act S.56 and 199 Criminal Complaint Filed
specified period. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. SEC Act S.56(1) in
to the SEC and the SET within specified period. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations
against each alleged offender and its related person. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 27/11/2012
related person. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 27/11/2012
offender and its related person. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 27/11/2012