securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
the management and proposed for the board of directors? approval at the board?s meeting on the same day at 12.30 p.m. His misconduct of making a false statement or a statement that was intended to
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
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