, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts
failure to perform his fiduciary duties with responsibility, prudence, honesty and integrity, and in accordance with the law for the utmost benefit of the company under the Securities and Exchange Act's
with responsibility, prudence, honesty and integrity, and in accordance with the law for the utmost benefit of the company under the Securities and Exchange Act's Section 89/7
be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
closely coordinating with the DBD, the SEC has considered legal issues under the Securities and Exchange Act (SEA) thoroughly to ensure prudence and fairness for all parties. The DBD recently informed the
of sustainability-themed bonds. In addition, the SEC arranged the focus group session aiming to gather feedback from business operators and stakeholders on 28 March 2023. Most of the respondents
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s