Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
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
CL Fund Management Limited Between August 10, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia
CL Fund Management Limited Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia
authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section
directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section 3 of Derivatives Act B.E
than what the customer could tolerate.In the case of {B}, who was a securities investment consultant at Thanachart Bank Public Company Limited (TBANK) at the time of misconduct, the SEC received a
Coins TH Company Limited On September 7, 2024, Coins TH Company Limited ("Coins TH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as