Official Dated 08/06/2021 Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third

benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a

in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest

indicating the client allowed {B} to make securities trading decisions on the client's behalf. In addition, OSK Securities probe further into the case and found that {C} failed to record several securities

from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation

failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording

the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris

statements for the third quarter of 2016, which had failed to present correct information on the liabilities incurred from the bills of exchange issuance. The initial deadline for submitting the special audit

According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and