Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
of Thailand Re: Rules, Conditions and Procedures for Temporary Suspension of Listed Securities Trading B.E. 2562 (2019)
On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83
during April 8 - June 15, 2010, {A} {B} and {C} had purchased SPSU shares through securities trading accounts of {D} and {E}. The purchases were made in such a way that taking advantage of others by using
Stock Exchange of Thailand, the SEC's probe found that during April 30 ? May 10, 2012, Sumit and Satja had purchased 2,514,800 and 490,000 RPC shares, respectively, through securities trading accounts of
during April 30 - May 10, 2012, {A} and {B} had purchased 2,514,800 and 490,000 {X1} Company shares, respectively, through securities trading accounts of intimates for their own benefits. The purchases