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...

Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation have revealed that he confirmed with a customer that the RMF units the customer had bought in 2...

Bangkok, July 4, 2011 ? The Southern Bangkok Criminal Court sentenced Suradej Mookayangkul, former executive director of International Engineering Plc. ("IEC"), on the charge of making false entries in minute of IEC?s board of directors meeting with intention to deceitfully deprive IEC or its shareholders of their rightful benefit, dishonestly violating his duties and causing damage to the usefulness in the nature as being a property of IEC, and acting in order to obtain unlawful gains for himse...

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

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

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