of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the

accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint

B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty

: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact

that facilitates market participants as they make a smooth transition towards adopting sustainability disclosure standards, e.g., ISSB, IFRS S1 and IFRS S2,    in the coming years to support

streamlined manner. This means that fund managers will now have a direct and efficient channel to offer their schemes in member jurisdictions. To facilitate the smooth operation of the Framework, the

). In the case where no wrongdoing is detected, the SEC Office will not store such data; Data for verification of wrongdoing from the integrated public information and governmental services database

complaint against the 13 offenders with the ECD for consideration of legal action. Since their wrongdoing is considered a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999), as amended

extension of the investigation aimed at taking further action against those involved in wrongdoing, following the SEC’s previous complaint against the persons colluding or being involved in the fabrication of

client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing