securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For

committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the

consultant, for the misconducts found during the first investigation. For the misconducts found in the second investigation, two-month suspensions were imposed on both of them. Considering that they had been

misconducts for future reference. 

management company paid a compensation of 100 million baht to T.U. Dome for the damage caused by the aforesaid misconducts of such fund managers. The SEC will take further consideration on pursuing relevant

Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were committed.In the case of Veerachai, Nomura was informed by the clients that they had transferred money

without authorization causing damage to the client.    Reprimand: The SEC reprimanded {E}, a derivatives investor contact, and recorded her misconducts for future reference on account of soliciting and

to pay 60.5 million baht to the computer company but not receiving any benefit in return and thus suffering damage. Bee?s misconducts were aided by Woraset Unyakowit (currently named Thanachai

(Thailand) detected such dishonest behaviors and consequently terminated her employment and demanded that she pay compensations to all of the inflicted cilents. Pornthip?s misconducts were deeemed dishonest

major shareholder, sold the shares in his personal trading account during 3-26 October 2012 at the total amount of 576,000 shares. The misconducts of the four offenders violated Section 241 and liable to