, GLAND?s major shareholder, they are classified as related party transactions and acquisitions of assets required the approval of shareholders? meeting. In this connection, GLAND will propose such
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
Vorapol Socatiyanurak said that ?Business operators in the capital market have duties under the Anti-Money Laundering Act and the Counter-Terrorism Financing Act. They must therefore have in place sound and
consultant, for the misconducts found during the first investigation. For the misconducts found in the second investigation, two-month suspensions were imposed on both of them. Considering that they had been
together with other three aiders or abettors, namely Budget Management and Design Co., Ltd., Montian, and Chai (or Kittiwut). Other than Section 312 of the SEA, they were charged on fraud, embezzlement and
the Project, business operators will gain knowledge and better understanding about capital market, relevant fund raising rules and regulations, and preparation for going public. In addition, they will
information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information
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