control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
condition to lure the public into the trading. SEC Act S.243(1)(2) in conjunction with 244(1)(2)(3) Settlement Committee Meeting No. 4/2012 Settlement Committee Order No. 31/2012 Dated 20/08/2012
Mr. Somchai Chaisrichawla From September 13 to November 16, 2006, Mr. Somchai Chaisrichawla colluded with Miss Chaninan Luangwaykin in using Somchai’s and other persons’ securities trading accounts
(SALEE) in a manner that inflated and stabilized the price of such securities in concealment to mislead the public to believe that the trading volumes were substantially high and the prices of SALEE
Miss Chaninan Luangwaykin From September 13 to November 16, 2006, Miss Chaninan Luangwaykin colluded with Somchai Chaisrichawla in using Somchai?s and other persons? securities trading accounts to
(SALEE) in a manner that inflated and stabilized the price of such securities in concealment to mislead the public to believe that the trading volumes were substantially high and the prices of SALEE
) in concealment to mislead the public to believe that the trading volumes were substantially high and the price of SST securities changed which was inconsistent with the normal market conditions. In
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
to his failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 7/2022 Settlement Committee Order No. 110