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

future reference in the case that a breach of duty is repeated.

found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

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

future reference if breach of duty is found. 

deemed a breach of duties and professional codes of conduct. Earlier, the SEC disseminated a circular urging investor contacts, branch managers and securities company management to ban unregulated

, 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

a breach of contract as an amount of Baht 94,474.27 and interest until the payment is fully made. Subsequently, on 5 September, 2018, Mr. Noppadol sold 2,000,000 TRUE shares by using such inside

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

ที่ไม่เป็นไปตำมนโยบำยกำรลงทุน/เกณฑ์กำรลงทุน (breach) (ถ้ำม)ี มูลค่ำทรัพย์สินสุทธิ (NAV) 112 ล้ำนบำท จ ำนวนสมำชิก 251 คน 1 ปี ย้อนหลัง 3 ปี ย้อนหลัง 5 ปี ย้อนหลัง 10 ปี ย้อนหลัง ตั้งแต่จัดตั้ง นโยบำย อัต