violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
, and using inside information for trading Roynet shares in violation of Section 300 with Section 56, Sections 59, 238, 241, 246 and 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The
accounts. The acts of {A} {B} and {C} were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the
. The act of {A} was in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code. The acts
rules. Bee was earlier found purchasing EIC shares through the Stock Exchange of Thailand (SET) at a price higher than the tender offer price. His action resulted in a violation of the tender offer rules
action by placing trading orders through other persons? trading accounts and making payment for such transactions.Swake?s action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535
CMO shares acquired during the latter period.The aforesaid actions were in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), the Settlement Committee therefore imposed
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved