report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO
imposed on 10 persons, namely (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} and (10) {J}.With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares
Bill Trade Co.,Ltd. Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed
Bowen Reece Co., Ltd. Between August 2001 and 22 May 2003, Bowen Reece Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Harvey Dunbar Co., Ltd. Between August 2001 and 22 May 2003, Harvey Dunbar Co., Ltd. with other alleged persons operated securities brokerage business solicited foreign clients to invest in
Desktop Marketing Co.,Ltd. Between August 2001 and 22 May 2003, Desktop Marketing Co.,Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Logical Solution Co., Ltd. Between August 2001 and 22 May 2003, Logical Solution Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Mr. Graham Leslie Arthur Peveller Between August 2001 and 22 May 2003, Mr. Graham Leslie Arthur Peveller with other alleged persons operated securities brokerage business and solicited foreign