performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A

forces when necessary. The goal is to improve prevention and enforcement efforts against unfair securities trading practices, embezzlement, fraud, and financial misconduct under the Securities and Exchange

, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.*  In

misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992)  (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified

the manager.The misconduct of the three persons above was a failure to perform duties with responsibility and professional due care for the best interest of investors pursuant to the Notification of the

the data of listed companies with at least 30 percent woman directors on the board (as of 31 December 2022) without any record of misconduct under the Securities and Exchange Act in the past year

clients, all of which were completely compensated. Teerasak’s misconduct of misappropriating clients’ assets and acting in the manner that implies dishonesty, is deemed failure to perform duties or

personnel with knowledge, expertise and credibility among general investors, their misconduct in this case is a serious offense, affecting the reliability of the capital market in a significant manner

any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and