account of the business operator and not to the IC’s personal account and should not put into the IC’s keeping important investment documents, e.g., an order form signed in advance. In case of any

transactions. As the above information is just basic information, the SEC urges shareholders to prudently study the entire information from the enclosures for shareholders? meeting in order to make careful

accounts to mislead the clients into believing that such amounts were their investment money plus benefits.Afterward, they repeated the same method by persuading the clients to continue investing in order to

the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any trading

account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market

securities companies? rules strictly and do not meddle with the client's assets and trading account or submit trading order via the internet with the IP address of securities firm.  **Details of sanctions are

enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and

financial gaps and needs using internationally accepted instruments in order to identify target groups and policy areas to focus and to compare with countries in the region or internationally??Monitoring of

for approval as capital market personnel for the period of two years and two months, starting from the effective date of suspension order. The SEC also disclosed his inappropriate behavior for his

. หากการดำเนินการดังกล่าวมิได้ทำให้บริษัทมีโอกาสในการจัดการกับคำสั่งซื้อหรือขาย (execute order) ภายในกลุ่มกันเองได้ หรือหากการดำเนินการดังกล่าวมิได้เป็นช่องทางที่จะทำให้ไม่เกิดประโยชน์ที่ดีที่สุดสำหรับการ