Daol Securities (Thailand) Public Company Limited Between September 7, 2018 and May 9, 2022 Daol Securities (Thailand) Public Company Limited, a private fund management company, failed to comply with
Mr.Parin Pruksawan During December 17, 2013 – January 9, 2014 Mr. Parin Pruksawan, a trader of DBS Vickers Securities (Thailand) Co.,Ltd, performed his duty dishonestly by using information to
letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about
letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about
SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability
Mr. Vijchu Chantatub During 24 - 29 October 2018 and 13 November 2018, Mr. Vijchu Chantatub as a private fund manager, managed a private fund without honesty and care to preserve the interests of the
from the funds transferred to his personal bank accounts. The acts of Mr. Ngeonwasawat are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act
Mr. Eric Jordan or Mr. Eric Jack Jordan Mr. Eric Jordan or Mr. Eric Jack Jordan as director of Professional Portfolio International Ltd. (PPI) and personal capacity colluded with other alleged
relating companies with Beyond, the shareholders and executives of Beyond without due diligence and care in the same manner as a professional. Besides, Beyond gave the margin loan and performed in favor of
an SECC Holding’s director and executive with responsibility and due care by attending the Board of Directors’ meeting in which the fictitious loans worth Baht 245 million agenda was approved and