Mr. Koravit Asawakul On 9 February, 2016, Mr. Koravit Asawakul colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited to participate in a panel discussion on the topic “How Thailand’s Capital Market Can
payment as ordered by the Settlement Committee. {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in
. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved rule revisions to allow underwriters to trade underlying securities of securities
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of