through its subsidiary company. The SEC’s further investigation found that four persons, namely (1) Pasita, TRC’s executives’ daughter and sister, (2) Rewadee, TRC’s senior accounting manager, (3) Ounruen

, Head of Sustainable Investment – Fixed Income and Senior Portfolio Manager at Nomura Asset Management, who shared his perspectives on promoting transition investment. Also participating in the exchange

branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a

caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for

, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or

during 1 April 2016 - 4 May 2016. In so doing, (6) Mrs. Supritha Pai Kasturi, Senior Manager of PTL Finance and Accounting Department, helped to execute the PTL purchase orders before the inside

and a private fund manager, had collusively planned and conducted, with divided assignments, the manipulation of price or trading volume of TIGER shares, with the assistance of Shanya, Investment

with the same characteristics as such investors under (1)-(15) mutatis mutandis(17) Individual registered as qualified fund manager/ derivatives fund manager(18)  Other types of investors as specified in

, and {B}, as manager, for such contravention which is liable under Section 125 of the same Act. Any persons who suffered damage from the company's illegal operation are encouraged to contact the ECD

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and