of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade
investment consultants consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's
official will perform an investigation before recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested
, executives and secretaries, as well as the gatekeepers, for example, auditors and financial advisors, enabling them all to perform their duties accurately and in the best interest of listed companies
proper, and efficient operational systems and personnel to provide continuous services for the best interest of their clients, whereby the business operators’ personnel can perform their duties properly
has considered that Nattapong failed to perform duties with loyalty* by committing wrongful acts against the investors’ assets, which was an offense liable to revocation of approval as securities
-disclosure of material facts that could influence investment decisions, failure of directors or executives of listed companies to perform fiduciary duties and using or allowing other persons to use a nominee
her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful