-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
dishonestly and seeking wrongful gains, which caused damage to IEC, through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed
Public Company Limited (IEC), through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed in absolute receivership by the
International Engineering Public Company Limited (IEC), through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed in absolute
allowing the trading account to be used for the YCI transaction in exchange for compensation. The public prosecutor issued a non-prosecution order. The case was final. SEC Act S.243(1) in conjunction
(Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 28 August 2020.. However, Mr. Lertchai failed to prepared and disclosed the