with the SEC, thus causing it to be an unapproved share offering.NEWS private placement without the SEC approval was in violation of Section 33 and liable to the penalties under Section 268 of the
-organized a seminar on “Class Action Case Proceedings” to share knowledge about class action to interested parties and provide assistance to those adversely affected in the capital market due to violation
such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval
annual inspection report and coordinate with and notify the SEC in cases of executive?s or employee?s violation of law. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders
of duty is found. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business
January 10, 2008, filed complaints against (1) {B} and (2) {A} for aiding or abetting the CWT share price manipulation from July 15, 2004 to February 9, 2005 in violation of Section 243 and Section 244 of
manipulation is in violation of Sections 243 (2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA).The Settlement Committee, therefore, imposed the separate fines of 16,071,788.32 baht and 4,563,791.25
inappropriate and deemed as interfering with client's assets.As both investor contacts' actions are in violation of Clause 14(2) of the Notification of the Office of the Securities and Exchange Commission No
affirmed that he had learned of {A}'s trading on his behalf. In this case, {A} has paid compensation to the client already.Making securities trading decisions on behalf of client is in violation of Clause 20
derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators