Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
Insurance Public Company Limited (BKI). Following a referral from the Stock Exchange of Thailand, the SEC?s further inspection has revealed that Chai, then chairman and chairman of the executive board of
he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact
showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities
Bangkok, October 28, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 19,948,269.33 baht for manipulating share price of Union Petrochemical Plc. (UKEM). The fine was
by the fourth quarter of this year with the aim to provide more investment choices and help strengthen the financial system.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market
private sector to help enhance the public sector operation along the line with international standard. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board
Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading
management to general public. Their activities involved advertisement, general solicitation and distribution through website www.sdc.us.com.The SEC?s probe revealed that Seandar Inc. and Matthew operated