applicant and group of parent company.  {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1

loss. Their actions were in violation of Section 241, subject to sanctions under Section 296 of the Securities and Exchange Act B.E. 2535 (1992). On June 18, 2014, Yongyuth and Vorapin agreed to enter

/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clause 23(2) and the prohibited characteristics of the personnel in the

caused   TYM share price inconsistent with normal market conditions to mislead the general public about TYM trading values and volumes and lure the general public to trade such shares.Their actions were

were all sold out during low price period.  The said actions were in violation of Section 311 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code

licensed to operate securities business in accordance with the Securities and Exchange Act of 1992. Their actions are in violation of Section 90 and liable to the penalties under Section 289, i.e

trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.As a result, their actions were

consultant to do so.    Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade

was no evidence that the client had ordered the responsible investment consultant to do so.    Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct

of the Penal Code. The Settlement Committee, therefore, imposed fines on Bordin and Noparat at the amounts of 5,870,805 baht and 500,000 baht, respectively. Worathan?s actions were liable to violation