and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market

securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

Act 2535   100 12/03/1992 16/05/1992 2. Act   Securities and Exchange Act 2535   115 12/03/1992 16/05/1992 3. Notification of Capital Market Supervisory Board  Tor Thor. 34/2556 Repeal of the

operation of Coindee. His failure to perform the required duty of his position resulted in the offence committed by Coindee concerning the case that Coindee failed to maintain the net capital (NC) in

Unofficial Translation Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market

:   * Pursuant to Clause 31(3) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 (Notification No. Tor Lor

any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorNor

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as