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
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
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
addition to him, Chanchai and Onpimon were also involved in the act as aiders.In this regard, Chupong, Chanchai and Onpimon were deemed to have committed offences in violation Section 311 and Section 315 of
aiders. In this regard, {A}, {B} and {C} were deemed to have committed offences in violation Section 311 and Section 315 of the Securities and Exchange Act of 1992 (SEA), and because CGH is a listed
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
companies.“SEC Thailand is committed to improving the competitiveness of Thai capital market and creating opportunities from international connectivity. One of our goals is to enhance dialogue between SFC
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the