considerably higher trading commissions from frequent submission of orders and high volumes during the marketing campaign launched by Country Group Securities. For {C}, she was assigned to take care of this

partly due to the fact that Jeeraporn, former assistant auditor, had disclosed the draft financial statements of the clients under responsibility of her audit group to her sister Jeeranan when she knew or

at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an

according to the National Action Plan on Business and Human Rights as approved by the Cabinet on 29 October 2019. She will also present the actions that extend or supplement the said national action plan

Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's

the derivatives broker including spouse, cohabiting couple and minor children thereof, and any person who has facts or circumstances that allow the SEC to consider that he/she is the undisclosed

the court?s decision binds all members of the class at once,? she added.The court and lawyers have a major role in the legal proceedings of a class action. Pursuant to the Thai Class Action Law, lawyers

indicating the customer's confirmation that he or she was the person sending the securities trading orders must also be included."      

judgment in relation to Suree that she was an aider and abettor rather than a principal, and thus sentenced her to a four-month imprisonment and a fine of 133,333.33 baht for the violation which occurred