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
Mr. Praphol Milindhachinda On 19 October 2015, Mr. Praphol Milindhachinda acquired of Filter Vision Public Company Limited (“FVC”)’s shares held in his securities trading account, as well as in the
to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly
manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions
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
. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent