Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
Thailand (SET), the SEC?s further investigation has revealed that during 28 August 2012 ? 30 October 2012, TIP?s executive, major shareholder and related persons used nonpublic information that would affect
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such
Bangkok, November 20, 2015 ? The 10th SEC Working Papers Forum today has revealed the results of three research studies on the common theme, ?Investment: Expectations and Reality,? conducted by the
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
initial public offerings (IPO) of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that Chupong, then CGH executive responsible for the
Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact