civil sanctions. *** Applicable only to the offenders, having committed other offenses and being under the SEC consideration period for the untrustworthy characteristics as directors or executives

criminal complaint has resulted in the alleged offenders having untrustworthy characteristics and being prohibited from holding the positions of director and executive of securities issuing companies and

officer's investigation, the public attorney's prosecution, and the court's jurisdiction, respectively.  In addition, being named in the complaint has caused Wichai to have untrustworthy characteristics of

caused KC current and former executives, i.e., (1) Pattarapob, (2) Sunchai, (3) Teerasit, and (4) Kitisan, to be liable to having untrustworthy characteristics of directors and executives of issuing and

ณราคารับซื้อคืนหนวยลงทุนไมถูกตองแบบมีนัยสําคัญ (incorrect pricing) (ขอ 27) เหตุผล เนื่องจากเกณฑปจจบุันกําหนดวา เมื่อเกิดกรณี incorrect pricing ใหหยุดรับคําสั่ง (ขอ 27) จึงเห็นควรกําหนดเพิ่ม

non-prosecutorial order or the court has passed the final judgment to dismiss the case, it shall not be deemed as having untrustworthy characteristics); (b) It has not yet surpassed the three-year

documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or

incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility

, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from

=8438 SEC imposes civil sanction on three offenders for manipulating BA shares , have become liable to possession of untrustworthy characteristics of director or executive of securities issuing company