Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the
such a way as to take advantage of other persons by using adverse material non-public information concerning LVT net loss in Q1/2010 of 37.65 million baht which was significantly different from LVT net
) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million
concerning the business operation of PLE net profit in Q1/2010 of 184.10 million baht which increased 182.74% from PLE net loss of 223.23 million baht for the same period of 2009 and increased 145.6% from the
fell from Q3/2013 with the net profit of 1,100.96 million baht, a decrease of 179.98 percent and fell from Q2/2014 with the net profit of 168.79 million baht, a decrease of 621.72 percent, before such
baht significantly fell from Q3/2013 with the net profit of 1,100.96 million baht, a decrease of 179.98 percent and fell from Q2/2014 with the net profit of 168.79 million baht, a decrease of 621.72
), knew or possessed the inside information that ICHI's operating net profit decrease in the financial statement of 2016 which significantly fell from the operating net profit of Q4/2014 had a net loss
another person’s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT’s net profit of the year 2012