of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
Bangkok, March 16, 2016 ? The Criminal Fining Committee has fined Pichet Boonyapakdee, a former executive of M-Link Asia Corporation Public Company Limited (MLINK), for making a statement that was
unlawful gains from Seamico Securities Public Company Limited (ZMICO). On December 29, 1999, the SEC filed a criminal complaint against Nuprapat, an ex-ZMICO director, on the charge of corporate fraud
Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover. The SEC?s further investigation after a tip-off has revealed that NEWS, POLAR and Siwasit jointly acquired
Bangkok, 20 April 2017 ? The SEC has filed a criminal complaint against former directors and executives of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public
damage to Bliss-Tel Public Company Limited (BLISS). The SEC found that Penkae and Tan, then holding position as BLISS investment board members having power to make securities investment decision and