own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
Approval Deficiencies and Action Taken {{detail.auditor}} {{detail.auditor2}} {{detail.number}} {{detail.periodApproval}} {{detail.operation}} {{detail.operation2}} {{detail.labelLink}} List of auditor with
client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered
Mrs.Chanyarat Sangtong Between 20 August, 2015 to 11 December, 2015, Mrs.Chanyarat Sangtong who involved in the UOB Freehold Eight Thonglor property fund (“UOB8TF”) bought UOB8TF Units by using
learned from the Board of Directors Meeting Agendas. In addition, he did not report his conflict of interest to the Board of Directors that on January 25, 2016 he bought 10,000 contracts of JASH16 Futures
Mr. Ratanachai Phatinavin Between February 24, 2014 and February 28, 2014, Mr. Ratanachai Phatinavin has illegally bought 9,000,000 shares of Eastern Star Real Estate Public Company Limited (ESTAR
environmental, social and governance (ESG) principles are taken into consideration for sustainable growth of Thailand, at the SEC Office on 30 October 2023.
counted to form a quorum of the shareholders meeting nor be eligible to vote and receive dividend payments. The Company must dispose of such shares as bought back by the Company as per the preceding