assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht: 1
clients, all of which were completely compensated. Teerasak’s misconduct of misappropriating clients’ assets and acting in the manner that implies dishonesty, is deemed failure to perform duties or
The Securities and Exchange Commission (SEC) has filed a criminal complaint against the following persons, i.e. (1) STARK, (2) Mr. Chanin Yensudchai, (3) Mr. Vonnarat Tangkaravakoon, (4) {A}, (5) Mr. Sathar Chantrasettalead, (6) Mr. Kittisak Jitprasertngam, (7) Phelps Dodge International (Thailand) Limited (PDITL), (8) Thai Cable International Company Limited (TCL), (9) Adisorn Songkhla Company Limited, and (10) Asia Pacific Drilling Engineering Company Limited. It was revealed from the...
Provisions relating to Offer for Sale of Shares Issued by Foreign Company in the Manner of Private Placement
misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . This case is in the process of inquiry by the
Mr. Komen Niyomvanich In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed
personnel for 10 years. (2) {B} , an investor contact of KTB Securities Co., Ltd., aided other persons in sending trading orders of TRAF shares in a manipulative manner. She was fined for her assistance in
Miss Monsicha Ounpipat In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed