is deemed performing duties dishonestly in contravention of Clause 11(1) and (2) of the SEC Office Notification No. SorKhor 15/2548 Re: Approval of Investor Contacts and Standards of Professional

Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the

of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC

bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription

concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (5) Thepthiwa, who knew Pattarapob and Sunchai. In so doing, Thepthiwa allowed his

year 2015 without allowance for a doubtful account of the outstanding debt.  Case 3: Performing duties dishonestly and seeking wrongful gains, which caused damage to IEC, through a purchase transaction

” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by

market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called; 5 Amended by the Notification of the Capital

could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called. “investment consultant” means a person providing investment

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.