asset businesses, including exchange, brokerage and dealing. The legislation also aims to protect investors from risks of fraud and deception by dishonest persons, money laundering and exploitation of

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities

of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to

undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such

or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such laws are domestic legislations or foreign legislations

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

misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992)  (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified

Securities (Thailand) terminated Panita?s employment and filed a lawsuit against her and the related persons.In the case of Nitchawan, her dishonest acts against a client?s assets involved using the client?s

, 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