, Pongsachalerm and Chaiwat?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act of 1992 and thus liable to
shares while {D}, as investor contact, had facilitated internet tradings through accounts of {A}, {B} and {C}. {A} and {D}, however, refused to enter the settlement process.Consequently, {D} is deemed to
in benefits from trading of KARAT shares. Apichart?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and
offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015
. Besides, the persons named in the criminal complaint filed by the SEC are deemed as having untrustworthy characteristics of director and executive of a publicly held company. This caused the termination of
provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of
February 2014 before the information became publicly known on 28 February 2014. Such action was deemed taking an unfair advantage of other people.Chai?s misconduct was in violation of Section 241 and liable
juristic persons, listed companies may use their discretion in summoning ID documents, as deemed necessary. In any case, a valid period of such ducuments should at least be in a range of six months or one