Officer, who executed his or her duty in accordance with Section 51 of the Emergency Decree, ordered Zipmex and CEO Akalarp to submit information related to the company’s business and operations, including

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty

., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and

client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action

director and executive at the time of the offence, on the ground of insider trading. They were ordered to pay civil fines and return any gains from the offence.*Mr. Suphanan, however, sent a letter asking

company for 5 years, and as major shareholder of derivatives business operator for 10 years.   Due to the deficiencies in duty performance of Mr. King, SKFM was subject to violation of Section 117

payment as ordered by the Settlement Committee.   {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in

, Sakkarin tricked the client to believe that there were trading transactions in the client's account at Apple Wealth by showing fake trading documents to the client. Later, the client ordered to sell shares

. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s

specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October