misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the
หน้า ผู้ประกอบธุรกิจ สินทรัพย์ ดิจิทัล บุคลากรของผู้ประกอบธุรกิจ ตลาดรองและองค์กรที่เกี่ยวเนื่อง https://www.sec.or.th/TH/Pages/LawandRegulations/AuditorAccountsT.aspx Thai Market Misconduct วิชาชีพ การ
responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others; Promptly deal with identified issues and misconduct
committing the misconduct. Additionally, the SEC has banned {B} from holding the position of branch manager in charge of capital market business at the bank for two months. Following the complaints from
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2
, the https://www.sec.or.th/EN/Pages/LawandRegulations/EmployeeStockOptionProgram.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1
for 10 years possession , nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct