President from February to March 2011 with duties as head of fund managers responsible for supervising the equity funds managed by both companies respectively, had committed dishonest acts by using
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom. Failure to keep complete and correct records of clients? orders are deemed non
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
therefore committed to promoting financial investment literacy among Thai people, helping them be aware of scams, and enabling them to protect themselves for stable and sustainable financial well-being
committed an offense under the lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows: (1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with
committed an offense under the lawsuit of the plaintiff, and imposed civil sanctions, as follow: a civil penalty, a compensation at an equal amount to the benefit should have been received from committing the
complaint is merely the commencement of the criminal justice proceedings. The process of determining whether a person has committed a legal offense involves the investigative powers of the inquiry officer
Private Fund Management , of which policy is investment in domestic products; (b) providing services of trading a government bond or a bond of which principal and interest are guaranteed by the Ministry of
persons appointed to provide trading services of government bonds or bonds whose principal and interest are guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such