derivatives trading orders via the internet from the IP address of Krungsri Securities. Those orders were submitted for a certain period of time. The actions of Ashiya, Onjira and Wasana that made trading
were submitted for a certain period of time. The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in
transportation limitations as well. Such actions above may be liable to concealing material information or disclosing misleading information in contravention of the Securities Law. The SEC is instructing EARTH
investors. SEC’s actions in this regard over the past months are as follows. 1. Fund mobilization on the primary market: In August 2019, SEC considered allowing limited companies to mobilize funds on
global issue and urges all stakeholders in the capital market, particularly asset owners and asset managers, to prioritize positive actions on climate change as they have the decision powers to invest
of the person(s) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or
. These actions have led to the formulation of key results and Strategic Plan that truly respond to the demands of all target groups, which will lead to mutual understanding and cooperation in driving the
penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or other past behaviors demonstrating
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16