stocks in a manner that manipulated the prices of FVC storks during the aforesaid periods. This constituted dishonest performance of his duties and failure to protect the interests of the clients

, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and

Unfair allocation of shares Executives/directors committing dishonest acts Others, please specify………………………………………………………………………… Securities company/asset management company/mutual fund: Inaccurate

of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law

internal control system, causing the suspicious issues in the dishonest acts to evade inspection.  The SEC has therefore banned the three offenders from performing duties as branch manager in the capital

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

trading or management in deceitful, fraudulent or dishonest manners; (4) being prohibited from acting or performing duties as a director, manager, a person with the management power, or an advisor of a

, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business

established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties, with a view to: (a) prevent dishonest acts of its personnel; (b

) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c