Bangkok, January 20, 2009 ? The SEC?s Settlement Committee appointed by the Minister of Finance under Section 317 of the Securities and Exchange Act of 1992 (SEA) resolved to impose fines on nine offenders for manipulating share prices of TWZ Corporation Plc. (TWZ) and Wyncoast Industrial Park Plc. (WIN) and insider trading of Ascon Construction Plc. (ASCON) shares with details as follows:TWZ price manipulation: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ...
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tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to
true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure
Bangkok, February 21, 2007 ? The SEC has issued administrative sanctions on four investor contacts on the grounds of aiding or abetting unorganized market loans and malpractices relating to
clients who suffered substantial damage from her misconduct which she avoided to acknowledge. This is a case of severe wrongdoing. The SEC, therefore, bans Napasanan from being an investor conduct in the
client?s account and concealed her wrongdoing to deceive the client. Her actions contravene Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15
Patheepoungrattana, and Suwattana Churuangsook for being the supporters of the aforesaid wrongdoing. The Stock Exchange of Thailand reported to the SEC that the CIG trading transactions during February 3 ? July
: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact