incurred the total damage of 6.95 million baht onto the investor.  SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was

property rights over two coal mines in Indonesia, which EARTH had acquired from exchange of the company group’s assets at an approximate value of 24 billion baht. In this regard, EARTH failed to proceed

director and managing director, respectively, knew of the B/E issuance but did not perform their duties responsibly and honestly, and failed to have the B/E transactions in the KC accounting records, causing

mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate

this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The

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