offense under Section 242(1) in conjunction with Section 243(1), subject to the penalties under Section 296 and Section 296/2 of the Securities and Exchange Act B.E. 2535 (1992) (SEA).By allowing Dr

true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure

tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to

wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information

benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such

complaint against the 13 offenders with the ECD for consideration of legal action. Since their wrongdoing is considered a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999), as amended

personnel with knowledge, expertise and credibility among general investors, their misconduct in this case is a serious offense, affecting the reliability of the capital market in a significant manner

: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact

accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint