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tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to
true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure
Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also
burdens and operating costs of private sectors. Currently, there are 68 ongoing projects. Based on the initial assessment, once all 83 projects have been completed, they are expected to help reduce
clients who suffered substantial damage from her misconduct which she avoided to acknowledge. This is a case of severe wrongdoing. The SEC, therefore, bans Napasanan from being an investor conduct in the
client?s account and concealed her wrongdoing to deceive the client. Her actions contravene Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15
: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact
will advise the SEC regarding misconduct of securities analysts in accordance with professional standards thereby ensuring transparency and fairness of disciplinary procedures. This committee will