Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
court will judge the case accordingly. Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the matter, please go to compliant
Derivatives Act B.E. 2546 (2003). According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the
registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). This case is in the process of inquiry by the inquiry official. According to the SEC News Release No. 103/2012, the
. 2546 (2003). This case is in the process of inquiry by the inquiry official. According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with
). This case is in the process of inquiry by the inquiry official. According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others