One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to
or facilitation for Mr. Chiyachantana in committing the offense. The case was related to the selling and buying transaction of land and building where WORLD entered into a contract, paying 30 million
orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or
trading accounts and bank account to trade securities and clear the trading orders. Such collusion in executing trading orders of TIGER stocks of Atthavut and Sujeera in such manners caused the TIGER stock
Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone
sending documents to her own address to conceal high volumes of investment unit switching and buying without the client?s orders. In case of Surasak, the SEC obtained a report indicating that Surasak was
for providing auditing service to businesses in the capital market. Such audit firm must employ at least one auditor in the capital market. The name list of the audit firms inspected by the SEC is