execution of the scheme.Their actions were in violation of Sections 243 (1), (2) in conjunction with Section 244 of the Securities and Exchange Act B.E. 2535 (1992) and Sections 83 and 86 of the Penal Code

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant

securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The SEC has therefore filed separate complaints against the four

by Noppawan and Viroj who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation.The aforesaid offenses were in violation of Section 243 of the

taking an unfair advantage of other persons in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992.In this case, the offender refused to enter

performance of duties, interfering with investors? assets in concealment and creating false evidience in violation of or non-compliance with the notifications of the Capital Market Supervisory Board concerning

, fraud or embezzlement and wrongful use of the clients? assets in violation of Clause 14(1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14

other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14

in such a way that the receiver of the benefits from such trading is the same person. These offenses were in violation of Sections 243 and 244 of the Securities and Exchange Act of 1992 (SEA) in

companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business