had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
into force since 3 March 2021. Additionally, the SEC has revised related regulations to allow the existing business operators to switch to License E or PF License in line with the business model they
Benefit Blue Company Limited During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat
systems which may cause serious damage to the benefit of the people. SEC Act S.133 paragraph 1 and 133 paragraph 2 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13
which may cause serious damage to the benefit of the people. SEC Act S.117 133 paragraph 2 and 136 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13/03/2020
settlement of such purchase for Mr. Swake Srisuchart?s benefit. SEC Act S.241 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 5/2013 Settlement Committee Order No. 47/2013
price settlement of such purchase for Mr. Swake Srisuchart?s benefit. SEC Act S.241 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 5/2013 Settlement Committee Order