amount of 179.6 million baht for his own benefit, causing damage to the company. He was also found forging documents related to NIPPON?s securities investments to deceive others regarding the company?s
provisions, causing the company to suffer damage or making themselves or other persons gain unfair benefits, they are liable to a fine of up to the amount of damages or benefits received but not less than
from AMC, and the assignment of such rights to DCH Co., Ltd., instead of N-PARK, by Mr. Jaruthavee without seeking approvals from the company?s Board of Directors and shareholders, had caused damage to N
-listed securities for delivery to the client. In addition, it was found that Kunakorn had sent trading orders through the client?s account without consent, causing damage to the client. Kunakorn?s conduct
account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person
amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has
Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting
redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax
) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or other past behaviors