was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further

an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's

avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

business personnel for a period of seven years and six months, effective from 8 August 2020.  In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s

therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020.  In addition, SEC has found that this misconduct had been partially

inaccurate and false preparation of such records.   The misconduct of the executives and their associates above is liable to legal offences as follows: The persons in (1) and (2) are liable to failure to

). In the case where no wrongdoing is detected, the SEC Office will not store such data; Data for verification of wrongdoing from the integrated public information and governmental services database

extension of the investigation aimed at taking further action against those involved in wrongdoing, following the SEC’s previous complaint against the persons colluding or being involved in the fabrication of