failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net
offering to sale newly issued securities in the category of debenture without approval from the SEC Office during June 2017 – December 2017 resulted from the instruction or the failure to give instruction
from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral
committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for 18 counts of dishonest and failure to discharge his duty as director
Miss Malinee Leopairat Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to