Limited (IFEC), with the Economic Crime Suppression Division of the Royal Thai Police (ECD) for committing dishonest acts to gain unfair advantage for himself or other persons. During the month of December
Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of
the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
members must keep in confidence any data obtained during the course of duty and must not take advantage of such undisclosed information; ë Other areas: The SEC Board members must perform their duties
;) 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 person as specified in the notification of the
") 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 person as specified in the notification