misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
information on the misconduct of the five investment consultants. Investors are strongly advised to exercise discretion in making investment decisions and should be aware that fund products come with different
money from the account owners to pay for their trading. With their continued misconduct for a long period of time {A} and {B} gained a lump sum amount of profit from commission fees from their trading
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives
stemmed from the decrease in sugar prices and cost of production. Since the 1st quarter of 2017, the Company had been relocating its production lines of sauces and condiments to the new factory, such
/EN/Pages/DIGITALASSET-NEWS.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does
analysis, applying AI and Machine Learning technologies to detect irregular transactions, and improving the effectiveness of misconduct prevention and investor protection.In 2025, the SEC will continue to
benefiting himself or others through such misconduct. This is a violation under Section 89/7, with penalties stipulated in Section 281/2, Paragraph 1, of the Securities and Exchange Act B.E. 2535 (1992), and
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex