consultant {D} for his failure to keep complete records of client's trade order instructions.

applicant and group of parent company.  {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1

Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In

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 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

cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose. Bitkub’s offence was resulted from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief

the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. 25/08/2022 agreed to comply with civil

from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief Executive Officer and authorized director, which is duly required to be performed. 10/01/2023 agreed to comply with