from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor

probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a

into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of

business, only some provisions of the primary listing regulations will apply; regulatory mapping, for instance. ?Primary listing of foreign shares will promote Thai capital market?s linkage with regional and

CPALL. In this regard, 118,300 shares were purchased via the trading account of Korsak, and 5,000 shares via Piyawat?s trading account. In the case of Pittaya, 7,500 shares were purchase via his brother

automatically barred from serving as director of any issuing or listed company.In any case, filing a criminal complaint commences the criminal justice administration whereby the consideration whether a defendant

AGM. According to the consideration of the Department of Business Development, the Ministry of Commerce, Nittimon?s action was in violation of Section 33, Section 102 and Section 105 of the Public

) for falsifying the company?s documents and accounts in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The SEC?s finding indicated that Somchit proceeded or permitted

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A