Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The

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

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

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

Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing

addition, due to the fact that Amorn, Pipat and Nasika held the position of director and/or executive of AJD at the time of committing offenses and were imposed with a civil penalty by the Civil

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

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

Woraphant, Preeya and Sasipas whereby the three offenders must pay a separate civil penalty, compensate for the benefits received from committing the offenses and reimburse for the investigative expenses