one-month suspension in September 2007 for the same misconduct, the SEC decided to impose a more severe punishment, i.e., a six-month suspension, effective from October 16, 2008.

, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and

received the report from Siam City Securities Co., Ltd., on its investigation into misconduct of Meaunchit who had sent trading orders of other individuals through her clients? accounts without such clients

misconduct of MRC - BIZ is liable to offering for sale of digital tokens and operating digital asset exchange without license, which is a legal offense under Section 17 and Section 26 subject to the

such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht.  The misconduct above led to the

inaccurate and false preparation of such records.   The misconduct of the executives and their associates above is liable to legal offences as follows: The persons in (1) and (2) are liable to failure to

business personnel for a period of seven years and six months, effective from 8 August 2020.  In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s

therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020.  In addition, SEC has found that this misconduct had been partially

December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012

. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as