Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East
regulations to facilitate fund mobilization of the private sector as well as redemption of investment units. The CMSB also approved the amendment to the SET share buyback rules to accommodate listed company
หน้า ผู้ประกอบธุรกิจ สินทรัพย์ ดิจิทัล บุคลากรของผู้ประกอบธุรกิจ ตลาดรองและองค์กรที่เกี่ยวเนื่อง https://www.sec.or.th/TH/Pages/LawandRegulations/AuditorAccountsT.aspx Thai Market Misconduct วิชาชีพ การ
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2
, the https://www.sec.or.th/EN/Pages/LawandRegulations/EmployeeStockOptionProgram.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1
for 10 years 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
the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting
securities business personnel pursuant to the SEC regulations. In addition, at the time when Penprapa committed such misconduct, she was holding the position of branch manager of Bua Luang Securities Public
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the
}'s account. Therefore, it was deemed that {B} had used the trading account of the client to trade securities for himself.The misconduct of {A} and {B} was an exploitation of investors' trading accounts