one-month suspension in September 2007 for the same misconduct, the SEC decided to impose a more severe punishment, i.e., a six-month suspension, effective from October 16, 2008.
, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and
received the report from Siam City Securities Co., Ltd., on its investigation into misconduct of Meaunchit who had sent trading orders of other individuals through her clients? accounts without such clients
misconduct, the evidence showed that all of the CWT shares that were traded through the accounts of the aiders and abettors once combined with those held in Boonchai?s own account and those held by the company
inaccurate and false preparation of such records. The misconduct of the executives and their associates above is liable to legal offences as follows: The persons in (1) and (2) are liable to failure to
business personnel for a period of seven years and six months, effective from 8 August 2020. In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
หน้า ผู้ประกอบธุรกิจ สินทรัพย์ ดิจิทัล บุคลากรของผู้ประกอบธุรกิจ ตลาดรองและองค์กรที่เกี่ยวเนื่อง https://www.sec.or.th/TH/Pages/LawandRegulations/AuditorAccountsT.aspx Thai Market Misconduct วิชาชีพ การ
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2
, the https://www.sec.or.th/EN/Pages/LawandRegulations/EmployeeStockOptionProgram.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1