strictly cautious and accountable for their own action. However, forward looking statements based on actual, not distorted facts available at the time, is permissible even though the outcomes afterward turn

deceive the company into transferring money to his and other persons? banking accounts as well as embezzling the company?s securities and money obtained from selling NIPPON?s investment units at the total

investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The

manipulative trading caused the TRAF share price to be inconsistent with the normal market conditions. In addition, Jantharapa, then an investor contact at KTB Securities, aided and abetted manipulative trading

standards of conduct strictly applied in other countries. Trading securities on behalf of clients and inform them afterwards is not in accordance with ethics and professional standards and at times causes

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

accessibility to the capital market, including small and medium-sized enterprises (SMEs), to be at the standard level and self-reliance by utilizing various forms of accessibility to create ultimate efficiency

demonstrated the commitment at management and organizational levels that adopted the policy to refrain from corruption. Furthermore, 19 SET-listed firms achieved level 4 as CAC?s certified members. Besides

termination of their directorship and executive position at TUCC in accordance with Sections 89/4 and 89/6 of the SEA, starting from the date of the criminal complaint.  On criminal proceedings, the alleged

KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and