investment and asked her to take care of the trading account.Monta failed to perform her duty in compliance with the company?s rules as she, by the clients? decision, submitted a number of securities and

Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in

from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his

consult the auditor before conducting review in depth. Nonetheless, there was no indication that the audit committee failed to perform the duties to assist the wrongdoing of TUCC executives. The SEC

Court had previously issued an arrest warrant on Poramet Laorsuwan, who failed to attend the Court to hear the judgment. Conviction for 2nd offence:  The Court sentenced Pinij Bhudasart to five year

without the company's assignment, under which {A} failed to record his investment advice given to two clients. In addition, {A}, knowing that {B} was neither the SEC-approved investment analyst nor

capital market product, or participating in or supporting such acts performed by other persons. Clause 24 In case personnel in the capital market business have breached or failed to comply with Clause 23

any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

failed to submit such material information to investors or Home Regulator. Yes No If “No”, please specify __________________________________________________