from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

:    Case 1: Committing a fraud by misappropriating IEC assets through a purchase transaction of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Suthin and Charuwan sold the shares and

in any  particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's

during July 21st August 20, 2008, the SEC probed into the case and found that {A} {B} {C} five other accomplices, and another unknown person had colluded to trade UKEM shares through seven persons

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn, Nacharat and Thanatdej (or Jiraphoj) together with other 10 persons (one person died) colluded or agreed to trade

received but in any case no less than 500,000 baht, or both.Paweena, Punnaporn, Warunya and Trairath refused to enter the criminal fining process. The SEC therefore filed a criminal complaint with the DSI

inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the