such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset
the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a breach
requested the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a
aforesaid. Her actions were deemed unprofessional and non-compliance with standards of conduct of investor contact that should place importance on investors' benefit, as interfering with client's asset may
error port without record and evidence of clients? trading orders. Meaunchit admitted that a number of clients had contacted her through mobile. Meaunchit?s actions were deemed trading securities for
. Otherwise, the SEC will not consider granting any more extension and will proceed with appropriate actions as deemed necessary. The SEC has therefore instructed SAM to submit the special audit report
deposit cash into client's account. {A} also used client's account to trade securities on her own benefit with a view to obtaining commission. Her actions caused B2-3 million in damages to the client.{A
evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of