transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients.  SEC

incurred the total damage of 6.95 million baht onto the investor.  SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was

the primary market through initial offerings of shares and convertible bonds directly to a group of no more than ten investors and employees, with an aggregate value of no more than 20 million baht

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

with him and have their money transferred into his personal account without any client transactions executed as ordered. Teerasak’ acts had caused damage in the amount totaling 980,000 baht to his six

13 November 2018, to the levels higher than the IPO price of 3.65 baht per share.The acts of the offenders, which caused the price and/or volume of TIGER shares to be inconsistent with the normal

violation of Section 113 and liable to the penalties under Section 282 of the SEA. The Criminal Fining Committee imposed a fine of 2.27 million baht on 31 August 2016.?**The prohibited characteristics of

and paid a fine in the amount of 500,000 baht as determined by the Settlement Committee on March 16, 2012. His case shall thus be regarded as settled under Section 317 of SEA.  The above complaint also

volume raised from 0.21 to 14.78 million shares. Earlier, the SEC had proceeded with the settlement process where the wrongdoers in UNIQ share price manipulation case were fined over 80.9 million baht

the participation of businesses with paid-up registered capital and shareholders? equities not less than 20 million baht, or having either profit or retain earnings in the latest fiscal financial