client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own

conjunction with Section 33 and subject to the penalties under Section 268 of the SEA. The Criminal Fining Committee therefore ordered him to pay a civil monetary penalty of 500,000 baht. Prior to the orders of

securities companies. Any transactions not ordered by investors themselves should be rejected or an objection should be made immediately to prevent potential damage

Section 89/7 in conjunction with Section 281/2 of the same act. For further legal proceedings, the SEC has ordered Mr. Suphanan to make clarification in this matter by 21 July. With regards to the

, not allowing IFEC to solve the problems in a timely manner. Citing Section 58 of the Securities and Exchange Act, the SEC has ordered Mr. Suphanan to clarify why he has not organized a shareholders

Public Company Limited, which was a major shareholder of TIP holding 5.49 percent of the total shares at the time, ordered TIP shares to be sold from the account of Thaisri Insurance during 13-28 September

Penal Code.Earlier, the SEC on March 16, 2012, had ordered GEN to rectify its financial statement 2011 due to the limitation on the auditor? examination by the company?s executives regarding the company?s

consider a repurchase scheme whereby the bid price would be higher than the market price. He then ordered another purchase of 8,000 JASH1H16 Futures contracts on 2 March 2016 before JAS disclosed the

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October