, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons. By committing such act which gained him more than 42 million baht in benefits
Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also
committed upon the dishonest misappropriation of the fund for personal gains. The actions committed by Mr. Chiyachantana and Ms. Hongsri were liable to be the offenses under Section 308, Section 311
information about the funds? investment plans to trade securities for her personal or other persons? gains (front running). Such trading activities were made through two securities trading accounts with
dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities
client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing
allocation to seek personal gains for oneself or other persons. By committing such act which gained him more than 42 million baht in benefits, Chupong was deemed to have performed duties dishonestly. In
responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the