) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC of its
Polaris Capital Public Company Limited Polaris Capital Public Company Limited ("POLAR"), a listed company, failed to prepare and submit the financial reports through the transmission system
On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful
behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements
Failed to Maintain Financial Condition 02/12/2015 16/12/2015 6. Report/Form (Notification of Securities and Exchange Commission) 28/06/2010 7. Circular 10/2555 10/07/2012 8. Circular 10/2553
Order No. 2/2021 Dated 21/12/2021 Bitkub Online Company Limited Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, failed to comply with the rules, conditions and methods of trading