(especially China), causing The competition is very high in term of price while the economy is in recession and the company is still losing money from the exchange rate compared to the US dollar (the company's
related persons. The offenders (1) to (12) colluded to send trading orders of THE shares continuously in a manner that misled other people, causing the prices or trading volumes to be inconsistent with
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
, is transparent with professionalism in management, causing companies to be better-known and accepted by the public creating incentives for interest in investments from businesses within the country
The Office of Securities and Exchange Commission (SEC) has been notified by the Stock Exchange of Thailand about the artificial appearance of ACD shares during the end of year 2014 causing by the
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
guidelines in detail regarding the consideration of cases involving severe legal violation or causing severe and significant effects.In addition, the amendments to the IPO regulations apply to both Thai and
), with the intention to impersonate and claim that their investment solicitations have been approved by the SEC* or the aforementioned organizations, causing considerable harm to the public. The SEC
' securities trading accounts. They traded UKEM shares in concealment on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing