later earned capital gains from selling the shares within the same month of the year.Chanthani?s two counts of misconduct were in violation of Section 241 and liable to the penalties under Section 296 of

system. However, their listed company clients accounted for only 10 percent of the total market capitalization. At engagement levels, significant deficiencies were such as audits of revenue recognition

 {A} and {B} were deemed a failure to perform duties with responsibility and deliberation as a professional in contravention of the Notification of the Capital Market Supervisory Board*.The SEC has

that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted

the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of

brought about benefits to Suthisak and a juristic person whose major shareholders are Darunee and Paphawin. Their actions were therefore deemed in contravention of and shall be liable to the penalty under

with those of mai listed.? In addition, SET50 companies were the best performers in AGM quality.? On number of the perfect 100 percent achievers, Financials sector outstood others with 18 companies

No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and the 3rd category prohibited characteristics of the

cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

and Exchange Act of 1992. The misconducts of Witoon, Kunnatee, Apilas and Kriangkai were in violation of Section 241. The Criminal Fining Committee has imposed a fine of 24,322,064.40 baht on Witoon