from a client?s account, which was deemed a breach of duty. She was also found to have acted in such a way that indicated dishonesty to the bank. In this regard, Sarinrat was deemed having prohibited

) the nature of unlawful act is a violation or non-compliance of provision of law, regulation, order or condition, in materiality or a breach of fiduciary duty or a violation or non-compliance of

redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax

disclose such information so that he will receive consideration from the person who engages in the said acts. A violation of this Section is subject to criminal liabilities involving further procedures of

breach of duty is found.  The above unprofessional acts were in violation of Clause 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of

, allowing other persons to access client information is deemed a breach of investor confidentiality agreement, a careless, imprudent performance of duties, a negligence of investors? best interest, and

by taking advantage of client information for personal gain. His unethical practice involved front running of online securities trading executed from his office computer for his relative?s account

such allocation of the newly-issued ordinary shares, the Company reserves the right to consider not allocating the shares to any subscriber if such allocation causes or may cause the infringement of

investment consultant, assigned {B} to take care of the clients as well as make investment analysis and give investment advice. {A}'s action was deemed as breach of duty and failure to exercise due care, while

were deemed a breach of duty under Clause 11 (1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards