) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
("The Company") and its subsidiaries operates a property development business, with a total of 4 projects, World Industrial Estate Project (Lamphun) Project, Lamphun Province, divided into Industrial area
conducting business and properly complying with the law, the SEC is therefore proposing additional regulations the essences of which are as follows:(1) Definition of future receivables under Section 3 of the
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities
units and cash, and (2) extension of deadline for the whole process, from the transfer of property fund assets to REIT to the listing of REIT on the Stock Exchange, from within 15 business days from the
management company which accepts the redemption of investment units; (4) “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; (5
accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities