money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered

of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection

TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive

accordingly. The revised rules on the rotation of auditors specify that the auditors of a listed company must be rotated off after 7 cumulative years of service and must serve a cooling-off period for 5

AIRA Securities Public Company Limited's report and the SEC's further investigation, he was found to have given investment advice on specific securities at a seminar and via Line application based on his

account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further

Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch

Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18