entrusting the company to manage their private funds with due care and professional standards, consequently liable to be a violation of Section Paragraph 2 and 3 of Section 134, in conjunction with Paragraph 1
selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than they would have been under normal circumstances. ** Section 317/1 of the SEA B.E
or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than
, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in
out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of
consequently help to achieve results and answer business demands more clearly. As an organization driving forward and publicizing the pool of knowledge on sustainable development, GCNT believes that this
listed companies pursuant to the SEC Notification*. Consequently, they are prohibited from holding such positions pursuant to the SEA. In addition, the misconduct in this case may be liable to be a
consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD; (2) In the case of {B
activities that may impose risks to the clients or the securities companies, and could consequently affect the overall market confidence." ------------------------- *{X1} Company Limited misconduct was in
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The