authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
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
the unfair securities trading misconduct constitutes a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999).Note:* SEC News No. 334/2025 dated 25 December 2025 “SEC imposes civil
action within its authority, as the unfair securities trading misconduct constitutes a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999). Note
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