who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...
Sanction Miss Sirin Trakoolwong Buying or selling securities beyond clients? orders without authorization causing damages to such clients
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
to trade securities in the client?s account on the client?s behalf without having to give prior notice. Despite the client?s cancellation of such authorization afterward, Pracha continued trading
securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3
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
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from