Plain Investment Consultant

confidence in the fair and transparent services of professional securities companies and the overall trading system. The SEC strongly advises that securities companies put in place effective and examinable

make without using inside information.SEC Secretary-General Thirachai Phuvanatnaranubala said, ?Trading of listed securities has been regularly monitored by state of the art surveillance system of the

XSPRING ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 18/06/2013 - 20/06/2013

any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

to the continuing loss in previous quarters. Ravi used such inside information to buy 1,479,700 SPORT shares through the trading account of Lohtong Holding Co., Ltd. before the company publicly

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

significantly from the preceding quarter. Jajjai had taken advantage of the information to sell 1.3 million MODERN shares through the trading account of his daughter Benjamas before the company disclosed the

information to sell the company's shares through the trading account of Ms. Benjamas Dhammarungruang. Both offenders paid civil penalties and compensation for the received benefits, at the total amount of 2.58

baht or a 73.22 percent rise from the same period of 2015. Sarath took advantage of the inside information and bought 2,189,700 TOG shares through the trading account of Malita (currently his wife