branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a

or facilitation for Mr. Chiyachantana in committing the offense. The case was related to the selling and buying transaction of land and building where WORLD entered into a contract, paying 30 million

misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992)  (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified

enact a law that supports digital asset business operators, issued by the SEC to appropriately supervise the industry and ensure consumer protection. In addition, the BOT is among the first central

provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading

, including the mutual funds, private funds, and provident funds, is approximately 7.08 trillion Thai baht, or about 44 percent in comparison to the overall GDP of the country. Therefore, if there were any

loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were

Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant.  The client

at a price lower than the market price. The governing regulations in this regard have become effective since 1 September 2022. The SEC is revising the principles for considering the market price and