inside information to trade CMO shares along with failure to report the changes of his CMO shareholding and launch a tender offer for CMO shares.With the referral from the Stock Exchange of Thailand, the
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
the company issuing the securities sold in the above transaction. Failure to conduct KYC/CDD process to verify and record the beneficial owner's identity, despite learning of such identity, was in
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions. Furthermore, after STARK
the year 2021 and disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions
benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and