According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
With the case referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that the four offenders, namely (1) Mr. Win Udomrachtavanich, (2) Mr. Ratachai
the case and found that Shine and others had continuously sent securities trading orders through trading accounts of several groups of people to buy and sell those securities in concealment in the
, Bangkok.The documents and evidence found at the site revealed that the company solicited the public to invest in gold futures by representing itself as a branch office of foreign broker, causing investors who
the facts which should have been disclosed in the factsheets of the company’s corporate bond offering. Such actions are considered acting in the manner that dishonestly deceives the public to obtain
. Maximum Drawdown is the information that helps determine the risk of loss from investing in the mutual fund. Recovering Period refers to the recovering period as information for investors on how long it
to invest in the project due to reasonable return and low risk, despite the fact that the IFA’s opinion on the risk of unclear source of funds, and present to the shareholders for approval. Agenda 10
(UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 8 December 8 2016. Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for