account of jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as
jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as follows: 1
penalized a former investment consultant named Mr. Nattapong Saelee by prohibiting him from performing duties as capital market business personnel for seven years and six months on account of committing
Limited (IFEC), with the Economic Crime Suppression Division of the Royal Thai Police (ECD) for committing dishonest acts to gain unfair advantage for himself or other persons. During the month of December
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
possession, nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients’ assets, which was a
Director, Deputy Chief Executive Officer - General Administration and Company Secretary, (3) {C}, and (4) {D}. The complaint was imposed on the ground of their collaboration in committing malpractice that
information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27
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