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
Phra Suthep Arpassaro (Panpai) During November 2009 to March 2011, Phra Suthep Arpassaro (Panpai) colluded with and Ms. Sopana Janeborvorn and Mrs. Vachala Pisitsak in committing dishonest acts by
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
Renaissance Fund Management LTD Renaissance Fund Management LTD failed to prepare the balance sheet and the profit and loss account for the first six months of the financial year 2019 by posted in a
front run his client’s futures trading orders. Such trading orders made through Ms.Nanthanat Srisawangwong at another broker for his personal gain. This action caused financial damages to his clients
another person’s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT’s net profit of the year 2012
Profit Gain Asia Ltd. Between April 10 to 28 August , 2014 Profit Gain Asia Ltd. (“PFAL”) , fail to reported the disposal of Natural Park Public Company (“N-PARK”) which changed its name to U City
profit in the last three years. SEC Act S.241 Settlement Committee Meeting No. 4/2013 Settlement Committee Order No. 35/2013 Dated 20/06/2013
Miss Keerarat Viphosupan help Mr. Yinganan to buy and sell SSPF securities by offer money transaction in buying and transfer the money which her receives from selling this securities for Mr. Yinganan
Mr.Sukrit Choradol Between October 14, 2015 and November 16, 2015, Mr.Sukrit Choradol assisted and facilitated Mr.Suwat Choradol in selling DEMCO Public Company Limited (“DEMCO”)’s shares by