true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure

tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to

for investigations and inspections of capital market-related malpractices, which has facilitated and expedited the procedures, contributing to an enhanced efficiency in taking enforcement actions. The

such severe wrongdoings, Chalerm is deemed unfit to perform the duty as investor contact and revokes the approval status of the investor contact for ten years, starting from June 23, 2011.Concurrently

constituting a violation of Section 246 of the SEC as well.In this regard, with thorough consideration, the SEC has viewed that the misconduct of this group of wrongdoers followed a systematic pattern

(UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1

return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has

offences regarding  market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more

focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More

the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory