from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
by 20 January 2025. The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives
information on the misconduct of the five investment consultants. Investors are strongly advised to exercise discretion in making investment decisions and should be aware that fund products come with different
money from the account owners to pay for their trading. With their continued misconduct for a long period of time {A} and {B} gained a lump sum amount of profit from commission fees from their trading
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service