notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . This case is in the process of inquiry by the
, Chupong was deemed to have performed duties dishonestly. In this regard, Chupong, were deemed to have committed offences in violation Section 311 of the Securities and Exchange Act of 1992 (SEA), and
with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to demonstrate that the investment decisions it made have been prudently
misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B
misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B
also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai, Mr. Teerasit and Mr. Kitisan – to take the positions of director and executive of KC, was believed to have involved in the
Stark Corporation Public Company Limited Stark Corporation Public Company Limited ("STARK") made a false statement and concealed a fact that should have been stated in the registration
and finance director, in misappropriating money through loan transactions of 60 million baht to V Billboard Company Limited (VBB). VBB later returned 20 million baht to TRITN and VBB was found to have
director, in misappropriating money through loan transactions of 60 million baht to V Billboard Company Limited (VBB). VBB later returned 20 million baht to TRITN and VBB was found to have used the remaining