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tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to
true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure
allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale
auditing of financial statements, which is under the present accounting standards and accounting professions' ethics. The objective of such requirement is also to report such misconduct to regulatory bodies