by taking advantage of client information for personal gain. His unethical practice involved front running of online securities trading executed from his office computer for his relative?s account
Bangkok, February 21, 2007 ? The SEC has cancelled an approval for Wanvadee Sripurd as an investor contact functioning as a marketing officer, effective from February 21, 2007. The revocation decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her personal bank account supposedly for the investors? securities purchases. She also tricked her cl...
** had purchased land for a power plant construction in a corrupt manner to seek unlawful gain. The SEC’s investigation revealed actions that could constitute offenses under the Securities and Exchange Act
and selling orders. Their failure to comply with the SET?s regulation is considered unethical and deficient in professional conduct as prescribed by entities or associations of securities businesses
to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly
AGM พัฒนาการ Detail Content Anti-corruption เรื่อง หน่วยงาน/ ประเทศ ISO 37001 Anti-Bribery Management Systems Standard ISO Foreign Corrupt Practice Act USA
clients? pay-in slips for settlement of trading transactions which were faxed to Napasanan. Napasanan?s misconduct is considered dishonest and unethical in violation of Clause 11(1) of the SEC Office
selling such securities for himself; Siwakorn?s behaviors were dishonest and unethical and in violation of Clause 11(1) and (2) of the SEC Notification No. SorKhor. 15/2548 Regarding Approval for
her employer bank a report on her severe professional misconduct which was considered dishonest and unethical behavior in violation of Clauses 3(10) and (12) of the Notification of the Capital Market