trading decisions for benefit of client without the client?s orders were in violation to Clause 20(2) of No. TorLorThor. 3/2555. The aforesaid actions were violation of Clauses 20(2) and 20(3) of No

of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and (3) and the prohibited characteristics of the personnel in the capital market business of the 3rd

Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and the 3rd category prohibited characteristics of the personnel in the capital market business under Clause 31(1

cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

with normal market conditions with a view to inducing the general public to trade such securities.  The aforesaid actions of Shine and others were in contravention of Sections 243(1), (2) and 244 of the

executed trading orders of AMC shares through accounts of Somchai and another client by splitting trading orders.  Their actions were deemed as sending inappropriate securities trading orders, in violation

jointly with Thanjira repaid debt to Tisco Asset Management Co.,Ltd. From the said facts, Surasak was considered as jointly with Thanjira engaging in dishonest conducts. The aforesaid actions were in

been well-aware of this urgent agenda and therefore sought collaborative actions from all parties under the project ?Financial Literacy: Road to Thailand?s prosperity? to kick off the first financial

Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of

not an approved investor contact or a securities company executive at the moment. The SEC, therefore, recorded his actions for future reference and will not approve his position as capital market