by taking advantage of client information for personal gain. His unethical practice involved front running of online securities trading executed from his office computer for his relative?s account

Bangkok, February 21, 2007 ? The SEC has cancelled an approval for Wanvadee Sripurd as an investor contact functioning as a marketing officer, effective from February 21, 2007. The revocation decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her personal bank account supposedly for the investors? securities purchases. She also tricked her cl...

and selling orders. Their failure to comply with the SET?s regulation is considered unethical and deficient in professional conduct as prescribed by entities or associations of securities businesses

to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly

clients? pay-in slips for settlement of trading transactions which were faxed to Napasanan. Napasanan?s misconduct is considered dishonest and unethical in violation of Clause 11(1) of the SEC Office

selling such securities for himself; Siwakorn?s behaviors were dishonest and unethical and in violation of Clause 11(1) and (2) of the SEC Notification No. SorKhor. 15/2548 Regarding Approval for

her employer bank a report on her severe professional misconduct which was considered dishonest and unethical behavior in violation of Clauses 3(10) and (12) of the Notification of the Capital Market

Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance Principles_Cover.indd 3 27-Aug-2015 6:43:10 PM G20/OECD Principles of Corporate Governance OECD Report to G20 Finance Ministers and Central Bank Governors September 2015 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meet...

หรือขาดจริยธรรม (unethical conduct)  2.2.5 คณะกรรมการควรกำกับดูแลให้มีการถ่ายทอดวัตถุประสงค์และเป้าหมายผ่านกลยุทธ์และแผนงานให้ทั่วทั้งองค์กร  ​2.2.6 คณะกรรมการควรกำกับดูแลให้มีการจัดสรรทรัพยากรและการ

นาไปสู่การประพฤติที่ผิดกฎหมาย หรือขาดจริยธรรม (unethical conduct) 2.2.5 คณะกรรมการควรกากับดูแลให้มีการถ่ายทอดวัตถุประสงค์และเป้าหมายผ่านกลยุทธ ์ และแผนงานให้ทั่วทั้งองค์กร 2.2.6 คณะกรรมการควรกากับดูแล