the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that

damage at the amount of 20,000 baht.   SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited

’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection

written confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties

insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited

are not applicable to – certain types of transactions. For example, giving financial assistance to a third party which is not considered a transaction in the normal course of business of listed

of allowing unlicensed business operators to participate in the exhibition; otherwise, it could be considered rendering support to illegal activities. The public and investors can verify the list of

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

transactions as selling off the said assets will cause ADAM to be considered as a cash company. As a result, ADAM might be posted ?NP? (Notice Pending) by the Stock Exchange of Thailand (SET) prior to being

baht. Thus, this would be considered an inappropriate price. In forming the opinion on the said matter, the IFA has also taken into account related expenses that may incur if the acquisition is not