safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by
Global Consultant Company Limited Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used
Mr. Narathip Lohawaroj Mr. Narathip Lohaweroj, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced
Mr. Torpong Thammasombut Mr. Torpong Thammasombat, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective Investment consultant ("IC
Mr. Niel Arthur Robbirt Mr. Niel Arthur Robbirt colluded with other alleged offender in operating securities businesses of brokerage and persuade the investors to invest by Global Consultant Limited
Mr. Chalaem Semsarid Mr. Chalaem Semsarid, then marketing director of Country Group Securities Public Company Limited and approved securities investment consultant, agreed or conspired with twelve
Mr. HANS-JORGEN IBSEN NIELSEN On May 7, 2010, Mr. Hans-Jorgen Ibsen Nielsen, a managing director and a former marketing consultant of L.V. Technology Public Company Limited (LVT), sold 3,450,000
Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that
, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated