247 and 246, respectively. In this regard, the matter of Vijit involvement will also be considered. ?Investigation on this incident has been carried out under the SEC regular procedures where workflow
Bangkok, November 24, 2009 ? The SEC revoked approval of one investor contact for 10 years on account of dishonest acts, defrauding and interference with a client?s assets, and suspended another for
. ____________________ * The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according
? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the
in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a collective total exceeding 40 percent of the total assets as per the
sectors. The amended rules specify that certain matters remain under the SEC supervision, including issuers? non-involvement in illegitimate businesses. The SEC, however, does not impose requirements
Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East
Bangkok, February 11, 2010 ? The SEC revoked investor contact approval of Porntip Thongchaicharoensiri, former investor contact at ACL Securities Co., Ltd., for five years on account of interference
such client to suffer losses, he admitted to having committed such wrongdoings and already paid the client for the damages. His actions were deemed interference with client assets in violation of Clause