mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate
trading orders from the client. {A} admitted that she accepted trading orders via her mobile. The SEC found that {A} intended to avoid complying with conducts of securities company in relation to record
investment and asked her to take care of the trading account.Monta failed to perform her duty in compliance with the company?s rules as she, by the clients? decision, submitted a number of securities and
compliance with the company's rules as she, by the clients? decision, submitted a number of securities and derivatives trading orders via the internet from the IP address of Krungsri Securities. Those orders
suspended by the employer for one year, the suspension imposed by the SEC shall remain for an additional six months;(3) suspended {C} for one year. As she has already been suspended by the employer for one
complaint, the SEC found that {B} had been authorized to make securities trading decisions on behalf of the client from the account opening. {B} admitted that she made trading decisions on behalf of the
connected director : Mrs. Suwanna Bhuddhaprasart did not attend the meeting and she had no right to vote in this agenda. The Board of Directors’ Opinion : The Board of Directors’ meeting has considered and
applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional
engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional standards, ethics, and rules of
Official Dated 18/12/2009 . Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. The public prosecutor issued a