in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital

ASSET PLUS FUND MANAGEMENT COMPANY LIMITED| ,Sector Fund | Offering Date : 14/03/2019 - 27/03/2019

DAOL INVESTMENT MANAGEMENT COMPANY LIMITED| ,Sector Fund | Offering Date : 20/05/2020 - 27/05/2020

dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from

from a client?s account, which was deemed a breach of duty. She was also found to have acted in such a way that indicated dishonesty to the bank. In this regard, Sarinrat was deemed having prohibited

officer by the Stock Exchange of Thailand due to his dishonesty. The aforementioned reflected that Mr. Kultavarakorn neglected to comply with the specified rules and regulations, failed to provide

Thailand and the Department of Special Investigation) in the offences relating to unfair securities trading or management with nature of deceit, fraud or dishonesty, in which case the SEC shall remove such

, resulting in 2 years and 6 months imprisonment for 122 counts (2) for dishonesty and failure to discharge her duty as director with due care and loyalty. (3) for dishonestly converting listed company’s

deemed as  performing duty with dishonesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as capital

being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under