has not been surpassed, provided that the prohibited characteristics involved with any of the following cases: (a) Performing duty dishonestly or dishonest, deceitful, or fraudulent act relating to
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such laws are domestic legislations or foreign legislations
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
(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the
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
, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and
Unfair allocation of shares Executives/directors committing dishonest acts Others, please specify………………………………………………………………………… Securities company/asset management company/mutual fund: Inaccurate
” By Ms. Issaraphorn Voratavornviwat Research advisor: Assoc. Prof. Kanis Saengchote, Ph.D. Master of Science in Finance, Chulalongkorn Business School 29th November 2023 SEC Capital Market Symposium