According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the
against Wichai for his fraudulent acts by misappropriating company assets and converting them to himself and other persons. He committed it by falsifying documents for securities purchasing orders to
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
Bangkok, August 10, 2011 - The SEC and the Economic Crime Division of the Royal Thai Police (ECD Police) raided and filed a criminal complaint against {X1} Co., Ltd. and related persons for
benefits; (2) falsifying name of a bank account for submission of a request to increase credit line; (3) opening a securities trading account by using name and signature of other persons and using such
, they shall be allotted and offered to specific persons (Private Placement) and/or institutional investors and/or specific investors categorized under the Notification of the Capital Supervisory Board No
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (Translation) -2- (6) Juristic persons established under