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
rules were deemed as a violation of Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of
clients by virtue of their actions. The {D} case is deemed as using client account to trade securities for herself by using non-financial institution loans. Their misconducts are therefore in violation of
neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation
later informing the client at the end of the day. The acts of {B} , {E}, {F}, and {G} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555
companies and the sale of black steel to Thai Niche, BF, and KSC, with support from BF, KSC, Jalernrat, and Thai Niche, were deemed a violation of Section 312 of the SEA. Moreover, their actions were also