the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the
Bangkok, 19 October 2017, The SEC has notified Group Lease Public Company Limited (GL) that failure to correct its financial statements promptly may be deemed a misconduct in violation of the
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board
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
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty
’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result