limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a
derivatives broker’s responsibility on assets of clients, and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker’s duty, there shall be a statement
Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement
Mrs. Chatkaew Gajaseni During September 3, 2018 - November 29, 2018, Mrs. Chatkaew Gajaseni, a director and executive director of PTG Energy Public Company Limited (PTG) changed her holding of PTG
("TRUBB") changed his holding of TRUBB securities for 20 times but failed to prepare and disclose all reports on changes in his holding to the SEC Office within the period specified in the
Engineering and Construction Public Company Limited (STEC) changed his holding of STEC securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period
Limited ("TRUBB") changed her holding of TRUBB securities for 3 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the
Mrs. Phenchan Yongvongphaiboon Between July 14, 2017 and September 4, 2017, Mrs. Phenchan Yongvongphaiboon, director and vice managing president of Asia Metal Public Limited Company (?AMC?) changed
concealment to mislead the public to believe that such shares were traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market