misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile
. Her misconduct caused damages to the client in the total amount of 389,622.60 baht. Sareerat has fully paid compensation for the damages to the client. The SEC has considered that Sareerat’s acts
former Chief Executive Officer. Therefore http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 16/10/2017 misconduct above is deemed an execution of
Surveillance and Enforcement (2) Emerging Trends in Market Misconduct และ (3) Digital Assets: Regulatory, Surveillance, and Enforcement ซึ่งที่ประชุมได้ร่วมกันแลกเปลี่ยนข้อมูลประสบการณ์ในการกำกับดูแล หารือถึง
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
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
Bangkok, 19 October 2017, The SEC has notified Group Lease Public Company Limited (GL) that failure to correct its financial statements promptly may be deemed a misconduct in violation of the
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and