benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market

benefits of a derivatives business operator or in connection with derivatives business in a position or a nature of work related to derivatives trading, solicitation or provision of advice relating to

further legal action.  In addition, due to the criminal complaint resulting in the fact that the directors and former directors is deemed untrustworthy to perform duties as directors and executives of a

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

of offences regarding deceitful, fraudulent or dishonest management of assets; or (5) being taken action and unable to perform the duties as personnel in the capital markets industry in the following

. In this connection, the SEC Board, by virtue of Clause 13 of the SEC Notification KorThor/Nor/Khor 14/2551 Re: Approval for Undertaking of Derivatives Business dated 5 November 2008, ordered a

her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful

) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as

person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact approved by the Office if such person can operate as investor contact

Directors’ Meeting authorized the Executive Committee to have power to take actions in connection with the entry into the Asset Disposition Transaction, including the negotiation of conditions and other