with law on protection and suppression of money laundering; (4) was convicted by the court’s final judgment on the offences relating to property committed https://www.sec.or.th/EN/Pages/LawandRegulations

Merchant Partners Securities Public Company Limited, was found having committed dishonest acts, defrauded and interfered with a client?s assets. He told his clients to transfer money into his own bank

President from February to March 2011 with duties as  head of fund managers responsible for supervising the equity funds managed by both companies respectively, had committed dishonest acts by using

Somsak?s account. In the case of Athueck, 6,000 shares were purchased via his daughter Areeya?s account.    The misconducts committed by Korsak, Pittaya, Piyawat and Athueck, who had a privileged access to

wrongdoing.In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012, the first and third quarters of 2013, and the year 2013 in order to

suspension on {A}, effective from 1 November 2017.  In the case of {B}, she committed similar acts by signing on the subscription order of a client without contacting or giving advice to the client. Instead

Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the

forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an

requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom.   Failure to keep complete and correct records of clients? orders are deemed non

) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive