by taking advantage of client information for personal gain. His unethical practice involved front running of online securities trading executed from his office computer for his relative?s account

decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the

bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription

bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

and selling orders. Their failure to comply with the SET?s regulation is considered unethical and deficient in professional conduct as prescribed by entities or associations of securities businesses

to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly

business. Thitirat?s wrongful actions resulted in her having prohibited characteristics of investor contacts in the securities business. The SEC therefore revoked the approval of investor contact from