Earlier, the Civil Sanction Committee decided to impose civil penalties against the 40 offenders for manipulating AJD shares* but they either failed to acknowledge or refused to comply with the civil sanction imposed by the Civil Sanction Committee. It was then considered that the 40 offenders refused to extinguish the case with the SEC. Therefore, the SEC requested the public prosecutor to bring the case against all offenders for the Civil Court to impose the highest civil sanction...
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
Miss Tanika Tangpoonphonvivat During the period of 21 March 2014 to 3 June 2014, Miss Tanika Tangpoonphonvivat and Mr. Sittichai Leeswadtrakul used and/or took control of 29 trading accounts of other
Mr. Sittichai Leeswadtrakul During the period of 21 March 2014 to 3 June 2014, Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat used and/or took control of 29 trading accounts of other
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement
business is under control of the persons under (1) (2) (3) or (4). Trading / disclosure while possessing inside information Presumtion on persons, who trade securities or enter into a derivatives