personnel with knowledge, expertise and credibility among general investors, their misconduct in this case is a serious offense, affecting the reliability of the capital market in a significant manner

against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and

any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct

, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

a listed company; (3) being considered under an accusation or criminal proceedings by an agency with legal authority for an offense related to unfair activities against derivatives or securities

imposed the civil monetary penalty in the first incident, which was an offense prior to the effective date of the Securities and Exchange Act (No. 5) B.E. 2559 (2016). As a result, Boonchai was deemed to

) Prasopsuk, (14) Thanaris, (15) Audcharapron, and (16) Phuthitorn) constitute an offense of colluding to manipulate securities price under Section 244/3(1)(2) in conjunction with Section 244/5 and/or Section

application for approval for offer for sale of the debt securities, the applicant had been subject to a final court judgment on the basis of an offense related to assets particularly due to deceitful

by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage, either under Thai or foreign laws; (3

under the Act on offenses arising from the use of checks in 1991 for 2 cases (the case of the North District Court and the Suphan Buri District Court) and one offense of creditors (Nonthaburi District