has considered that Nattapong failed to perform duties with loyalty* by committing wrongful acts against the investors’ assets, which was an offense liable to revocation of approval as securities

incurred the total damage of 6.95 million baht onto the investor.  SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was

from providing services related to privacy coins to prevent misuse of digital assets as a tool for committing a crime. After conducting a public hearing on the matter https://www.sec.or.th/EN/Pages

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

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

the penalties specified by the Civil Sanction Committee.In all cases, the civil penalties and the compensations at an equal amount to the benefit received from committing the offenses shall be

punishments under Section 296 of the Securities and Exchange Act B.E. 2535 (1992), which were in force at the time of committing the offences. In addition, such offences are currently in violation of Section

jointly committing with dishonest intent by authorizing KC to issue bills of exchange (B/E) for sale to a mutual fund of Solaris Asset Management Co., Ltd. which caused the misappropriation of an amount

for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing

Committee has resolved to instruct SEC to impose civil sanction whereby Kitti and Kongpat must pay a separate civil penalty, compensate for the benefits received from committing the offenses, and reimburse