offer period.which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.247 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 176/2022 Dated 11/11/2022
violation of Section 56(3)(4) of the Securities and Exchange Act B.E. 2535 SEC Act S.56(3)(4) Settlement Committee Meeting No. 2/2026 Settlement Committee Order No. 39/2026 Dated 18/02/2026
later than the specified period, which is a violation of Section 56(3)(4) of the Securities and Exchange Act B.E. 2535. SEC Act S.56(3)(4) Settlement Committee Meeting No. 2/2026 Settlement Committee
disqualification. This constitutes a violation of Section 46, which is subject to penalties under Section 272 of the Securities and Exchange Act B.E. 2535 (“Securities and Exchange Act”). SEC Act S.46
substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair
, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307
action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308
orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market