provisions, causing the company to suffer damage or making themselves or other persons gain unfair benefits, they are liable to a fine of up to the amount of damages or benefits received but not less than
from AMC, and the assignment of such rights to DCH Co., Ltd., instead of N-PARK, by Mr. Jaruthavee without seeking approvals from the company?s Board of Directors and shareholders, had caused damage to N
-listed securities for delivery to the client. In addition, it was found that Kunakorn had sent trading orders through the client?s account without consent, causing damage to the client. Kunakorn?s conduct
account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person
amount of damage to several clients.Pisist's misconduct above is deemed a failure to perform duties honestly in accordance with the Notification of the Capital Market Supervisory Board*. The SEC has
Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting
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
Securities Public Company Limited ("KTBST") failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested
approval on behalf of the company, colluded with Miss Tan Lethi, another BLISS investment board members and alleged offender, sought unlawful gain causing damage to BLISS. They decided or proceeded for