professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
revoked. In addition, {A} and {H} were suspended from their duties as an approved investment analyst and an approved investment consultant, respectively. Following investor complaint and report from Country
Board by virtue of Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. This Notification shall come into force as from 1 May 2008
(2008) hereby issues the following regulations: Clause 1. This Notification shall come into force as from 1 May 2008. Clause 2. The notification of the Office of the Securities and Exchange Commission No
Supervisory Board by virtue of Section 6 of the Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. This Notification shall come into force as from 1 May 2008. Clause 2