December 26, 2006 to January 19, 2007, Tanakorn Ritthibunlue used many other persons? trading accounts to continuously trade AMC shares in concealment in a manner similar to the aforementioned.The acts of

public.Technology Barcode and Virtual Barcode have also been used for storing and retrieving documents. It has been the preferred outcome that those making contact with the SEC usually spend much less time with the

by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares

regulation prescribing submission of the advertising copy or a media sample to be used in the advertisement for the SEC's consideration before the launch of the advertisement. Instead, issuers would be

who were her close relatives and friends instead. In so doing, she secretly used her supervisor’s computer to change the names of the persons having the right to such IPO allocation. Consequently, the

The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside

an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to

money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered

obstacles to living or occupations will be abolished or revised to lessen burden on people. By doing so, methods used must be done with speed, transparency, low costs with participation from all related

confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht.  SEC has considered that Sunisa failed to perform duties or provide