misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
news updates and prepare documentation regarding their bondholding in case it becomes necessary to confirm their bondholder status. Additionally, the bondholders should study their rights under the
proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there
/intermediary questions to confirm understanding or clarify inconsistencies about investment advice or recommendations. • Seek independent financial advice when necessary. • Compare the pros and cons of buying
, social, sustainability or sustainability-linked bond or programme, issuers appoint external review provider(s) to confirm the alignment of their bond or bond programme with all the core components of the
words in KAM sections but do not react to litigious, uncertainty, negative, and positive words in KAM sections. Given Thais’ unique beliefs of social harmony, “kreng jai” (Sriussadaporn- Charoenngam
attached hereto are correct, complete, true, and contain the substance [of the offering] in all respects. In this regard, to confirm that all documents are verified by the company, I have assigned