recorded such behavior for future reference if breach of duty is found. The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
personnel in the capital market business, the bank must not allow him to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(1) of the Notification of Capital Market
Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC, therefore, suspended {A} from his duty as the approved capital market
evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of
securities trading orders 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 Operators to Perform Duties of
financial statements for the year 2013 and the annual registration statement for the year 2013 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification
statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. On July 2, 2020,The Criminal Court
financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The Criminal Court sentenced the accused to pay a fine of Baht 40,000 and
of the total number of voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office
voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. She later filed the accurate report (Form 246-2) to the SEC Office on October 31, 2016. SEC