information for further investigation into certain trading transactions which may be of share price manipulation nature.In the matter of counterfeit SECC share certificates which may cause damage to the trading
29, 2008.2.Jakarin Wonglee (one-year suspension): According to investor complaints, his employer, Siam City Securities Co., Ltd.?s report and the SEC?s investigation, Jakarin was found to have made
executive status, effective on October 15, 2008.2. Sonthaya Mounmiang (one-year probation): Following the investigation report from her employer securities company, the SEC examined the case and found that
trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders
. Adjustment on SET?s trading systemSET has adjusted the parameter of circuit breaker for mai Index to prevent the repetition of the incident. 3. Investigation on irregular trading after market halt Halted at
misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the months of January - February 2018 Woraphant, by virtue of his