; or aiding or abetting thereof; (3) dishonest or deceitful acts; or aiding or abetting thereof. Clause 17 In cases where a fact appears that any person had the behaviors prescribed under Clause 16 more
closely monitoring the matter, the SEC has found that at around 08.30 hours on 2 September 2019, a suspicious Facebook account posted deceitful statements that misled the public to believe that such
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
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
Unfair allocation of shares Executives/directors committing dishonest acts Others, please specify………………………………………………………………………… Securities company/asset management company/mutual fund: Inaccurate
. Having been sentenced to imprisonment by the court's final judgment on public offences relating to deceitful, fraudulent and corrupted management and it has not yet surpassed an interval of three years
expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to shut down fraudulent contents or channels used for investment scams. Under this initiative, the SEC has
www.sec.or.th/scamalert or email: scamalert@sec.or.th. The SEC will verify and further investigate all submitted cases promptly and notify relevant authorities to remove fraudulent contents or channels used for
HouseStyle (Unofficial Translation) Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) This English Translation has been prepared by Linklaters (Thailand) Ltd, in consultation with the Office of the Securities and Exchange Commission, for the convenience of those not familiar with the written Thai language. Every effort has been made to convey the meaning and effect of each provision of the original Thai language version as accurately as possible. Achievement of this objective is gene...