the documents in committing the said acts. The SEC therefore requested the DSI to investigate whether the act of such company secretary would be considered aiding or abetting {A}'s fraudulent act.In

accounts and documents, and also prepared incorrect accounts with intention to deceive others about those fraudulent actions.Previously, the SEC had received complaint concerning POWER-P?s suspicious

found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and

of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to

Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2025 10:20 In response to a number of tips and complaints about fraudulent solicitation of unauthorized

against Wichai for his fraudulent acts by misappropriating company assets and converting them to himself and other persons. He committed it by falsifying documents for securities purchasing orders to

clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of

for fraud at STARK and its subsidiaries, as well as the falsification of STARK’s financial statements. In this regard, the SEC has already filed a criminal complaint with DSI concerning fraudulent acts

, 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

the source of this cash withdrawal transaction. As a result, Mr. Pattarawut Thunyajaroen was able to complete the fraudulent acts. The act of {C} constitutes a failure to reasonably check and monitor