already investigated TTA shareholding structure and request explanation from relevant persons. Under the SEC regulations, any person and persons hold or announce intention to hold at least 25% stake in TTA
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant. The client
9, 2006 - January 25, 2007. The SEC probed into the case and found that Krit aided and abetted manipulation of ASCON share price by allowing the accounts for securities trading and bank deposit to be
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
. The SEC probed into the case and found that {B} traded securities on behalf of his client. He submitted trading orders through client's account and informed him afterwards. He also traded securities
volume to be inconsistent with the normal market condition, the SEC probed into the case and found that Pimpa in colluding with Nophadol had used Nophadol?s and other persons? trading accounts to trade
investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case