capital market. The fraudulent activities include forging licenses and falsely claiming certification of the SEC and official authorities. There were deceptive uses of names and images of market
required to supervise and ensure that their advertisement would contain complete, correct and not misleading information.The consultation paper is available on the SEC website at http://capital.sec.or.th
) there are no grounds to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (8) the foreign entity
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
or dishonest act, or having an application for an offer for sale https://www.sec.or.th/EN/Pages/LawandRegulations/PerpetualBondorSubordinatedBond.aspx English (United States
Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful http://market.sec.or.th/public/idisc
with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the
jointly committing with dishonest intent by authorizing KC to issue bills of exchange (B/E) for sale to a mutual fund of Solaris Asset Management Co., Ltd. which caused the misappropriation of an amount
jointly with Thanjira repaid debt to Tisco Asset Management Co.,Ltd. From the said facts, Surasak was considered as jointly with Thanjira engaging in dishonest conducts. The aforesaid actions were in
specified by the client. He then made payment to such client for his own securities trading.The aforesaid acts of {A} and {B} were deemed dishonest and unprofessional in violation of Clauses 20(1) and 20(2