taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

18/12/2009 company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of

had not been sufficient.   This caused the client about 3,000,000 Baht in damage.  In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market

equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the

employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and

then the legal actions would be brought against the wrongdoers. Meanwhile, the SEC has official letters sent to each of the company?s directors and audit committee members to reiterate that it is their

so that the SEC can take further actions. The SEC Secretary-General Thirachai Phuvanatnaranubala said: ?It is unfair to accuse the SEC of discrimination when our actions clearly prove otherwise. We

Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about benefits to Mr. Suthisak Lohsawat and a juristic person whose major shareholders

(AMR). These actions included placing buy or sell orders designed to artificially inflate prices, submitting bids that hindered others from making their own buy orders, placing small-volume buy orders to