mutual funds and private funds which did not analyze and estimate the value of the IPO securities adequately and appropriately. SEC Act S.117 and 133 paragraph 2 Settlement Committee Meeting No. 3/2021
, and procedures as specified in the Notification of the SEC Office by managing 15 mutual funds to invest in other mutual funds under SCBAM’s management more than one level. SEC Act S.125(1) and 126/1
Mr. Benjamin Berger On June 15, 2019, Mr. Benjamin Berger presented and offered for selling the shares named Tian Tian Ventures to the public at the 2019 Tian Tian Ventures Investor Conference held
information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311
using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). The criminal case is closed because the alleged offender died. SEC Act
information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311
Ms.kanokwan Tippayathoadtana During July 15, 2004 - February 9, 2005, Miss Kanokwan Tippayathoadtana, an investor contact (marketing officer) at Capital Nomura Securities PLC, aided and abetted in
Miss Nongluck Sinprasertlert Miss Nongluck Sinprasertlert, an investor contact (marketing officer) at Kim Eng Securities (Thailand) PLC, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the
Mr. Adirek Umbangtalad Mr. Adirek Umbangtalad, an investor contact (marketing officer) at Merchant Partner Securities PLC, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the share price of
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3