such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval

trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by

Department of Special Investigation (DSI) to pursue legal actions against (1) Prachai Leophairatana - Chairman of the Executive Committee of TPIPL rehabilitation Plan Administrator, and (2) Stern Stewart & Co

was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities

 {X1} Company shares in his own securities trading account by using the aforementioned information learnt during his directorship in {X1} Company. {A} and {B}'s actions were in violation of Section 241

the aforementioned information learnt from her position of TUCC chief finance officer. Yongyuth and Vorapin?s actions were in violation of Section 241 which is subject to sanctions under Section 296 of

any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

trading orders. In this regard, {A} and {B} actions were deemed the violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of

machinery for plastic waste fuel refinery project. The said persons were {A}, {B} and {C}, ex-directors and executives of PRO, and {D}, Managing Director of Therm Engineering Co., Ltd. Their actions were in

investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information