passwords, as was similarly the case at Globlex. In so doing, {A} also made a profit sharing agreement with certain KTB clients. KTB has already terminated her employment.{A}'s misconducts were deemed (1

investment, please be careful and check for more information from the SEC website (www.sec.or.th) under ?License Check? and ?Investor Alert? banners. In case of suspicious unlicensed activities, please call

from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor

probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a

into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of

statement (Filing Form), including rights of investors and investor protection, restrictions and associated risks, such as lawsuit in the legal proceedings and restriction of capital outflow.In case where

CPALL. In this regard, 118,300 shares were purchased via the trading account of Korsak, and 5,000 shares via Piyawat?s trading account. In the case of Pittaya, 7,500 shares were purchase via his brother

automatically barred from serving as director of any issuing or listed company.In any case, filing a criminal complaint commences the criminal justice administration whereby the consideration whether a defendant

barred from holding such positions in such companies by virtue of the SEA.  In any case, filing a criminal complaint commences the criminal justice administration whereby the consideration whether a