continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund
solicitation or providing services for clients, information disclosure, advisory service, information or report filing with the SEC, prevention and management of conflicts of interest, and services provided by
repayments will be made within one year from the original maturity dates, and the remaining principals will be repaid on the extended maturity dates; (3) Approving partial interest payments at
before the information became publicly known on 18 January 2011. Such action was deemed taking an unfair advantage of other people by using positive material non- public information concerning the interest
for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among Zipmex
. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under
authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation
misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B
ประโยชน์ขัดแย้ง (Conflict of Interest) กับผู้ออกหุ้นกู้ กล่าวคือ BBL มีการถือหุ้นในผู้ออกหุ้นกู้ เกินกว่าร้อยละ 5 ของสิทธิออกเสียงทั้งหมดของกิจการของผู้ออกหุ้นกู้ ผ่านบริษัทที่มีกรรมการเป็นบุคคลเดียวกันกับ