Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 1,500,000 baht on Chakkit Thanavirun, a former executive of Bliss-Tel Plc. (BLISS) for imparting false statements with intent to mislead other persons concerning the facts stated in BLISS financial statements.The SEC found that Chakkit, then BLISS executive, imparted the statements in the company?s Q2/2013, Q3/2013, and 2013 financial statements with intent to mislead other persons concerning revenues from...
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
machinery for plastic waste fuel refinery project. The said persons were {A}, {B} and {C}, ex-directors and executives of PRO, and {D}, Managing Director of Therm Engineering Co., Ltd. Their actions were in
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's