lawsuit against them with the Bangkok South Criminal Court.The Bangkok South Criminal Court ruled against both defendants as principals on two counts in accordance with Section 42 Chor (1), (2) of the
organized seminars at two other hotels in Bangkok and Chiang Rai Province to solicit investments in a similar manner. Mandawee Tour's misconduct of securities offering in the category of debenture without
Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry
Bangkok, 6 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Jajjai Dhammarungruang and Ms. Benjamas Dhammarungruang, for using inside information to sell shares of
Bangkok, 6 June 2018 ? The SEC has imposed civil sanction on Mr. Jajjai Dhammarungruang, Vice President and Executive Director of Modernform Group Public Company Limited (MODERN), for using inside information to sell the company's shares through the trading account of Ms. Benjamas Dhammarungruang. Both offenders paid civil penalties and compensation for the received benefits, at the total amount of 2.58 million baht. According to the referral from the Stock Exchange of Thailand (SET) and the...
Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly us...
In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a better understanding of climate risks so that they can combine their knowledge and relevant available information to enhance their capability to deal with climate change; (2) to make asset management companies, as an institutional investor, understand the risks and effects of climate change on b...
Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with the group of persons above in opening trading accounts for investors to make derivatives inves...
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on