the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the

the data of listed companies with at least 30 percent woman directors on the board (as of 31 December 2022) without any record of misconduct under the Securities and Exchange Act in the past year

any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct

(UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection

Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex

decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by

were submitted for a certain period of time.  The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in

for five days for the recent misconduct, the suspension imposed by the SEC shall remain for one month and twenty-five days, effective from May 1, 2013.  With regard to the {B} case, following investor

consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and