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
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
make the most out of personal data for the purpose of further developing services. In so doing, BOT oversees risk management and data usage governance in compliance with the intention of the PDPA
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.