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

, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.*  In

property rights over two coal mines in Indonesia, which EARTH had acquired from exchange of the company group’s assets at an approximate value of 24 billion baht. In this regard, EARTH failed to proceed

Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units

According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, (1) Polyplex Corporation Limited (PCL), which directly holds 16.5 percent of PTL shares and

the shares of ADAM, which can be traded on the Stock Exchange.  This act was deceitfully planned with the Board of Directors of ADAM in exercising its power to sign the agreement to buy the shares of

6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated 15 September 2010, which are in

were induced to transfer their money to the company's account while the company also obtained benefits from trading fees which are deemed undertaking derivatives business without license in contravention

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and

which Thailand has comparative advantage. Providing an enabling condition that encourages growth of the said businesses will certainly help them to play the key role in adding value to products and