misappropriation of and interference with client assets. In addition, handling securities conversion for clients was beyond the scope of responsibilities assigned by her employer securities company. Sutthasinee?s
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
Mr. Michael Andersen Mr. Michael Andersen, authorized Director, responsible for the operation of L.V. TECHNOLOGY Public Company Limited (“LVT”), shall be liable for LVT delayed to prepare and
securities in the client?s account without authorization. His actions, authorized or arbitrary, were deemed interference with client assets, non-compliance with professional standards of conduct. In the case
the investor contact. The interference with the client?s assets and the offering of false information to the client with the intention to deceive are dishonest doings and contravene the standards
investor contacts, securities companies and investors themselves of the negative effects of asset interference and strongly advising investor contacts against committing such misconduct; otherwise, the SEC
unauthorized trading transactions in his account, to which Pojpraphan admitted to have made. His actions were deemed interference with client assets in violation of Clause 11(2) of the above Notification. The
another person?s bank account. Wittaya?s actions were deemed interference with client assets and performing duties beyond the scope of his responsibilities. Both sanctions took effect on August 7, 2008.
The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of GL’s delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by
section 300 and section 56(1) - (4) of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of GL’s delayed to prepare and submit the accurate financial statements and financial reports