to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients

money to Pimnara, who will use the money to trade securities and share the capital gains with the investors.   The SEC hereby notifies that investglobalmanagement.com, iqoption.com and the aforementioned

shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the

opportunity to collaborate with the SEC and UN to impart practical guidance and share good practice in responsible investment with Thai institutional investors and capital market participants. This webinar

2013. This was material information that would have supported an upward trend of the BKI share price. Chai disclosed such inside information to other persons who purchased BKI shares during 24-25

Bangkok, March 16, 2016 ? The Criminal Fining Committee has fined Somyos Anantaprayoon for dessiminating news that may have led other persons to understand that the share price of WHA Corporation Plc

Bangkok, 13 June 2018 ? The SEC has announced that the other six offenders in the share manipulation case against Asset Bright Public Company Limited (ABC) have consented to the civil sanction