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
benefit from realization of investment in associated company by equity method. {A}'s action was deemed as using inside information in such a way as to take advantage of other persons in violation of
orders via mobile phone.Making securities trading decisions on behalf of the client and failure to record the client's securities trading orders are, respectively, in violation of Clause 20(2) and 20(3) 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 to Perform Duties of Analyzing
. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market