court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been
bankrupt: O yes O no 6.2 Having been imprisoned by a final judgement of the court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person
or the agencies relating to capital market business which are recognized by the SEC Office; 14 (5) not having a demeanor of unfair act or taking advantage of investors on trading or investing in
partnership between the SEC and the SET at the policy making level, after which the meetings for management and operating staff levels will be followed. The SEC and the SET are committed to working together
offences committed by Bordin and Noparat were liable to violation of Section 243(1) in conjunction with Section 244 and Section 243(2) of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and Section 83
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
Criminal Fining Committee (“CFC”) on who committed the following offenses in accordance with: Section 317 of SEA Section 155 of DA Section 94 of TCMA Section 42 of PVDA Section 43 of SPVA
Court ruled against the accused for violating Section 56, Section 274 paragraph 1, and Section 300 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the
to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana