begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less

agreement to execute the transaction. After approval by the Company’s Board of Directors, with retroactive effect from 1 April 2017 until 11 May 2020. 2. Party and relationship. The Provincial Waterworks

order to execute enforcement and may also file a criminal complaint with the inquiry official for further criminal proceedings in case of refusal to pay a civil penalty.   In any case, more severe

investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he

unable to find sufficient evidence to justify the management's decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the

company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of

misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading transactions according to the order of the account owner or the authorized person. Moreover, he

account owner. Meanwhile, Patcharee took trading orders from an unthorized person.  Nattapon?s misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading

total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014

decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1