trading. The aforesaid actions of Shine were in contravention of Sections 243(1), (2) and 244 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code
Personnel of 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
submitted in the manner that continually affected the share price. The actions of four investment consultants were deemed as misconducts concerning share price manipulation while the action of executive
derivatives trading orders via the internet from the IP address of Krungsri Securities. Those orders were submitted for a certain period of time. The actions of Ashiya, Onjira and Wasana that made trading
were submitted for a certain period of time. The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in
to ensure prompt actions against violations without imposing unnecessary and burdensome rules upon abiding entities;Promotion: presenting the Thai capital market as a robust venue of choice for fund
as follows:1. Strengthening Enhanced CDD and the monitoring of unusual transactions by requiring business operators to take the following actions: (1) Conduct Enhanced CDD in cases where information
completely by May 30, 2018, or any other day mutually agreed by the Company and SUTGH. The key conditions precedent could be summarized as follows: (1) The Company has acknowledged the outcome of legal and
’ meeting, the memorandum of association, and/or application and/or any other actions necessary to comply with instruction of the registrar during the registration process for the increase in registered