Sanction Miss Sirin Trakoolwong Buying or selling securities beyond clients? orders without authorization causing damages to such clients
permit investment consultants to make securities trading on their behalves. While investment consultant has the duty only to provide investors with investment advice or planning, investors are responsible
securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission, with consultation of the Minister of Justice
permit another to produce fraud documents and prepare incorrect financial statements to deceive other persons. the public prosecutor issued a prosecution order; however, attempt to arrest the accused
Mr. Sukit Nganthavee Mr. Sukit Nganthavee, the former director of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to commit or permit another to produce
Mr. Lee Wolff Mr. Lee Wolff, the former managing director of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to commit or permit another to produce fraud