December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
market.ThaiBMA President Niwat Kanjanaphoomin said ?Bond Supermart? offers the retail investors the basic information for making decision to trade corporate bonds in the secondary market. It helps the investors to
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
continuously trade shares of TWZ Corporation PLC (TWZ) during the following periods: (1) September 28 - October 26, 2007, (2) April 28 - May 15, 2008, and (3) June 23 - 24, 2008, resulting in the trading of TWZ
Mr. Somphong Vitthayaraksan Mr. Somphong Vitthayaraksan colluded with others to trade shares of S.E.C Auto Sales and Services PLC (SECC) in concealment and on a continual basis during September 12
Mr. Suriya Larbvisuthisin Mr. Suriya Larbvisuthisin colluded with others to trade shares of Metrostar Property PLC (METRO) during September 19 - November 30, 2006, Thai Unique Coil Center PLC (TUCC
Mr. Somchai Sripayak Mr. Somchai Sripayak colluded with others to trade shares of S.E.C Auto Sales and Services PLC (SECC) in concealment and on a continual basis during September 12 - November 24