Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by
were submitted for a certain period of time. The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in
for five days for the recent misconduct, the suspension imposed by the SEC shall remain for one month and twenty-five days, effective from May 1, 2013. With regard to the {B} case, following investor
consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and
of submitting application to the SEC Office: (a) having been finally sentenced for misconduct as specified in sub clause (3) in case of juristic person; (b) having been finally sentenced to
ทำอันไม่เป็นธรรมเกี่ยวกับการซื้อขายหลักทรัพย์ (Market Misconduct) เมื่อเกิดขึ้นจะมีการดำเนินการบังคับใช้กฎหมายอย่างเข้มงวด และระดับความรุนแรงของความผิดจะสูงขึ้นจากมาตรการที่ขับเคลื่อนครั้งนี้ รวมทั้ง
. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under