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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
will advise the SEC regarding misconduct of securities analysts in accordance with professional standards thereby ensuring transparency and fairness of disciplinary procedures. This committee will
Merchant Partners? report on several investor complaints regarding Napasanan?s misconduct and the SEC?s further investigation which revealed that Napasanan had deceived her clients into securities trading
investor contacts is unethical and violates the SET?s rules. Yet, the SEC frequently finds and is informed of such practice which may constitute misconduct opportunities against clients? assets through the
regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an
securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under
in case of complaints or issues on misconduct of directors or executives of listed companies under the Securities and Exchange Act B.E. 2535 (1992) to enhance flexibility of work process and