B.E. 2546 (2003), causing damage to investors who were induced to transfer their money to the companies? accounts and those of associated persons.In the case of WSD International (Thailand) Co., Ltd

Homtuanlom, for operating derivatives business (gold future agent) without license and defrauding the public, causing a damage of 13 million baht. From the SEC?s investigation, these companies do not have

in minute of IEC?s board of directors meeting with intention to deceitfully deprive IEC or its shareholders of their rightful benefit, dishonestly violating his duties and causing damage to the

assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht:           1

trading in his sister’s account opened with the RHB and did not return the money to investors as agreed, causing damage to the investors.Phisit’s misconduct, using clients’ trading accounts to seek

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

? interest, and represent retail investors in making legal claims should there be any disputes or damage arising from unlawful conduct. In this regard, the TIA needs to strengthen its publicity and credibility

had not been sufficient.   This caused the client about 3,000,000 Baht in damage.  In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market

losses on financial assets to cover expected future damage. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments and