company for 5 years, and as major shareholder of derivatives business operator for 10 years.   Due to the deficiencies in duty performance of Mr. King, SKFM was subject to violation of Section 117

punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to

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

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

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

. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under

authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation

baht to four nominees through its subsidiary, SECC Holding, causing damage to both companies. Their misconducts were in violation of Sections 307, 308, 311, 313, 315, 89/7 and 89/24 of the SEA, as the

Niche, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of

falsification and false accounting record in violation of Sections 281/2, 307, 308, 311, 312, and 313 of the Securities Exchange Act B.E. 2535 (1992) (SEA). Wichai was sentenced to serve 20-year imprisonment and