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
specify mutual fund?s NAV based on fair price, none of asset management company has done so owing to the fact that no one is certain as to which price could be appropriate, revealed SEC Secretary-General
, namely Prayuth Lertpinyopap, Naruephol Chatchalermvit and Ladda Ponsuwannapa, with the Department of Special Investigation for involving in share manipulations. The SEC findings revealed reasonable grounds
director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above