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
-compliance with standards of conduct of investor contacts in violation of Clause 14(7) of the SEC Office Notification No.SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
violation of Clause 6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated September 14, 2010. Two-year
the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris
entrusting the company to manage their private funds with due care and professional standards, consequently liable to be a violation of Section Paragraph 2 and 3 of Section 134, in conjunction with Paragraph 1
appraised price, and the transfer of funds from NUSA accounts into personal accounts and those of close associates, are liable to be in violation of Paragraph 2 of Section 281/2, in conjunction with Section
falsification and false accounting record in violation of Sections 281/2, 307, 308, 311, 312, and 313 of the Securities Exchange Act B.E. 2535 (1992) (SEA). Wichai was sentenced to serve 20-year imprisonment and
. Natcha Suttipate and (8) Ms. Nijjawan Iamsaard were involved in the wrongdoing of Thanaporn by executing transactions for clients whose activities were clearly irregular in violation of the bank's
client in replacement of {B}. Seeking benefits from the client during the performance of duties, trading securities on behalf of the client and failure to comply with KYC/CDD procedures were in violation
SEC shall remain 2 months, effective from July 9, 2015. * Making trading decision on the client?s behalf and failure to perform duty in compliance with the company?s rules were deemed as a violation of