Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020.  Investors are

Exchange of Thailand. The client agreed to transfer money into Asia Wealth?s account and sent the transfer evidence to Jakkrit, who instead informed Asia Wealth that the deposit had been made by another

then asked the client to transfer the subscription money into her own banking account without actually using the money to buy such shares for the client;    (2)  In July 2017, Nutnicha borrowed shares of

to transfer the money received from the mutual fund units redeemed to her own account for personal use;            2. Transferring additional deposit from the client’s account to her own account on

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities

accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities

) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive

for shares and transfer 720,000 baht into Apple Wealth's bank account for such purpose. Sakkarin, however, informed the company that such money belonged to another client and changed the name and phone

executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems