provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of

February 2014 before the information became publicly known on 28 February 2014. Such action was deemed taking an unfair advantage of other people.Chai?s misconduct was in violation of Section 241 and liable

also received benefits from other relevant acts. His action  was deemed a violation of Section 89/7 and subject to penalties prescribed in the second paragraph of Section 281/2, Section 307, Section 311

investment units in the portion yet to satisfy the minimum of 5 year investment.The said action was a violation of conditions prescribed by the Revenue Department, causing the client to pay back tax deductions

สร้างระบบคุ้มกันให้ตนเอง จนได้ใบรับรองจากโครงการแนวร่วมปฏิบัติของภาคเอกชนไทยในการต่อต้านการทุจริต (Collective Action Coalition: CAC) ครบทุกแห่งภายในปี 2558  ทั้งนี้ หากธนาคาร รวมถึงบริษัทหลักทรัพย์และ

support illegal activities. If any violations are found, the SEC will take legal action accordingly. The public and investors are strongly advised to exercise caution when using services from unlicensed

ต้านการทุจริต (Thailand’s Private Sector Collective Action Coalition Against Corruption : “CAC”) ซึ่งดำเนินการโดยสมาคมส่งเสริมสถาบันกรรมการบริษัทไทย (Thai Institute of Directors : IOD

order or an action which results in the offence that the company offered digital tokens to the public without an approval from the SEC Office. The Court of Appeal adjudicated that the defendant was guilty

the mutual fund needs to be dissolved. Division 3 Action to Take When an Investment Unit Value or Investment Unit Price is Incorrect ___________________ Clause 13 In this Division: “price compensation

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of