order to execute enforcement and may also file a criminal complaint with the inquiry official for further criminal proceedings in case of refusal to pay a civil penalty. In any case, more severe
unable to find sufficient evidence to justify the management's decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
of FOCUS shares by using trading accounts of his clients to execute trading orders and manipulate the price of FOCUS shares and subsequently helped with the transferring of money gained from such
ประเภทเอา๊ทเ์ลท โดยสนิคา้ทีว่างจ าหน่ายภายในเอ๊าทเ์ลทนัน้ เป็นสนิคา้อปุโภคภายใตต้ราสนิคา้ของบรษัิทแบง่เป็นกลุม่ สนิคา้ Apparel ภายใตแ้บรนด ์Inco, Cheval, Sleep Mate, ETC และกลุม่สนิคา้ Non-Apparel ภาย
misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading transactions according to the order of the account owner or the authorized person. Moreover, he
account owner. Meanwhile, Patcharee took trading orders from an unthorized person. Nattapon?s misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading
total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014