according to the advice of a member of the group of persons, and shared benefits from the trading incentives with such member. Such acts caused damage to several investors. In this regard, SEC has filed a

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

known that the company would be unable to fulfil the sub-contract terms due to the cancellation of the power plant project. Their actions resulted in financial damage to IEC at the total amount of 156.8

) dishonestly diverted company assets to himself or a third party and sought unlawful gains for himself or others, causing damage to WORLD at the total amount of 30 million baht. Ms. Hongsri rendered assistance

caused damage to {X1}.In this regard, the four persons jointly arranged for {X1} to buy a land and a seven-storey office building to be used as {X1} new office at the price of 60 million baht from {C

for their own interest or other persons’, causing damage to AJD.  In the case of AJD price manipulation,* the SEC has found facts and evidence that during the month of June 2014, Amorn (at the time

addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding

asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to

Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards

The Office of the Securities and Exchange Commission (SEC) and the Federation of Capital Market Organizations (FeTCO) are two key bodies hosting the Capital Market for Students 2006 Program. This is