} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing

the clients.  They cannot make securities trading decisions on behalf of clients, regardless of the client's permission.  In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of

client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

trading values and volumes to be inconsistency with normal market condition to mislead and lure the general public into such trading and were therefore in violation of Section 243(2) of the Securities and

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and

orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

: Approval of Auditors in the Capital Market, dated 23 September 2010. The clause stipulates: “lack of professional ethics or violation of or non-compliance with the regulations under the Law on Accounting

as well as a violation of Section 89/7 of the same Act, as the case may be. This case is in the process of inquiry by the special case inquiry official. SEC Act S.307 308 311 312 313 315 89/7

against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and

performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account