financial officer, failed to report to the Stock Exchange of Thailand (SET) and the SEC that the company had been filed for bankruptcy by its creditors on 8 May 2017 and later became under the Court's

and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters:  (1)  deficient due diligence on a transaction of

Inquiry 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

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