disclosed the Q3/2015 financial statements through the SET's Electronic Information System on 13 November 2015.Ravi's misconduct was deemed a securities purchase based on a non-disclosed, material fact that

, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and

received the report from Siam City Securities Co., Ltd., on its investigation into misconduct of Meaunchit who had sent trading orders of other individuals through her clients? accounts without such clients

Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and

was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further

an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's

avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

business personnel for a period of seven years and six months, effective from 8 August 2020.  In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s