services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation

, respectively. The orders have been issued and effective today, after finding indicated that both investor contacts used their clients? accounts to trade securities for others. In case of Meaunchit, the SEC

related person, with a large amount of overdue payments and continuous losses. In case the debtor will not be able to repay the debt, profit shown on the applicant?s result of operation may turn to loss. It

the person. The SEC, therefore, files complaints against Apichart and the three persons with DSI. In any case, filing a criminal complaint commences criminal justice administration whereby the court

is higher than the offer price of 10 baht per share. Besides, even though JMT would not become the major shareholder of JMT Plus, it would still have to bear responsibilty to damage in case of JMT Plus

passwords, as was similarly the case at Globlex. In so doing, {A} also made a profit sharing agreement with certain KTB clients. KTB has already terminated her employment.{A}'s misconducts were deemed (1

investment, please be careful and check for more information from the SEC website (www.sec.or.th) under ?License Check? and ?Investor Alert? banners. In case of suspicious unlicensed activities, please call

from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor

probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a