who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...

Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...

trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

capital market investment consultant for 3 months, effective from June 16, 2015.The investment consultant is unable to make any trading decisions on behalf of the client even with the client's permission

& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3