. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was
committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in
improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, they falsified documents and evidence concerning money withdrawal to mislead
PICNI containing materially false or incorrect statement in order to deceive others. The action was violation of Section 312 of Securities and Exchange Act B.E. 2535. The Appeal Court overturned the
containing materially false or incorrect statement in order to deceive others. The action was violation of Section 312 of Securities and Exchange Act B.E. 2535 The Appeal Court overturned the judgment of the
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the