seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions or the failure to
sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions or the
offering for sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions
for sale of newly issued securities in the category of debentures (Private Placement) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a
for sale of newly issued securities in the category of shares (Private Placement) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a duty
Supervisory Board resulted from the instructions or the failure to give instructions which is duly required to be performed. SEC Act S.300 Settlement Committee Meeting No. 1/2024 Settlement Committee Order
failure to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to