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
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
). 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
หน้า ผู้ประกอบธุรกิจ สินทรัพย์ ดิจิทัล บุคลากรของผู้ประกอบธุรกิจ ตลาดรองและองค์กรที่เกี่ยวเนื่อง https://www.sec.or.th/TH/Pages/LawandRegulations/AuditorAccountsT.aspx Thai Market Misconduct วิชาชีพ การ
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2
, the https://www.sec.or.th/EN/Pages/LawandRegulations/EmployeeStockOptionProgram.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1
for 10 years possession , nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients
the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the