of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business
property to themselves, and obtained unlawful gains for themselves or another person, which caused damage to IFEC in the total of 26.6 million Baht. In this regard, they used the money that had been repaid
themselves, and obtained unlawful gains for themselves or another person, which caused damage to IFEC in the total of 26.6 million Baht. In this regard, they used the money that had been repaid form Inter Far
concerning the value of securities or the suitability of investing in those securities and managing funds of a person or group of persons to acquire benefit from securities in consideration of a fee or other
securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through
customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
An unknown person From July 21 and August 20, 2007, Another unknown person person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts colluded or agreed with Mr