Operators dated September 15, 2010. The actions were in violation of Clause 23(2) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the Notification of
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
, in accordance with the rules and procedures specified in the terms and conditions; (3) Approving related actions concerning the bond series, with details as follows: - Granting an
of the bond maturity date, an adjustment of the bond interest rate, a partial repayment of the principal, and the approval to enter into any agreements, arrangements, or related documents. Such actions
prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and
Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of Investment Units
manner of boosting the share prices, matching orders among themselves, or executing trading orders in a manner of obstructing trading activities of other persons. Their actions misled the general public