duties honestly in violation of Clause 23(1) and characteristics of personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8
misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B
”)’s assets, failed to perform duties responsibly, carefully and honestly, seeked unlawful gain for himself or other persons causing damage to the company, and committed or permitting wrongful acts
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
perform duties or provide services honestly and a wrongful treatment of investor assets in contravention of the governing Notification of the Capital Market Supervisory Board. The SEC therefore revoked his
failure to perform duties responsibly, carefully and honestly under Section 307, Section 308, Section 311, Section 312 and Section 313 and Paragraph 2 of Section 281/2 in conjunction with Section 89/7 file
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
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or