. If any actions are found to be in violation of the laws enforced by the SEC, legal proceedings may be initiated, which could result in imprisonment and fines. In case of possible legal violations of
inconsistency with normal market condition. The scheme was aided or abetted by {D} {E} and five other persons.Their actions were in violation of Sections 243 in conjunction with Section 244 of the Securities and
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
business thoroughly, causing incomplete disclosure in the filing concerning risk factors, conflict of interests, and trade mark.Akekajak?s actions were considered as failure to comply with the SEC Office
learned of such facts from his positions at SLC.His actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act
trade securities in the client's account without permission in order to achieve better performance. {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market
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
(1992) (SEA); while Usavadee and Perayuth?s actions, as aider and abettor, were in violation of Section 241 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions