orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market
her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful
remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact
to the remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an
Exchange Act B.E. 2535 (1992) and the Notifications of the Capital Market Supervisory Board regarding Offering for Sale of Shares of Foreign Companies and Disclosure of Financial Position and Operating
(1) to (4) called by other names; (6) member of a committee which is appointed or assigned by an intermediary to perform duties relating to operational function, compliance function, internal audit or
client to perform whenever using the services; (5) conflicts of interest (if any); (6) practicality between the intermediary and the client in accordance with laws, relevant Notifications and procedure set
Clause 20(5) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Intermediaries to Perform Duties of Analyzing Investment and Giving
cases: (1) appointment of infrastructure fund’s personnel as follows: (a) infrastructure fund manager who perform duty of making investment decision or divesting of infrastructure asset of infrastructure