Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No
statements for the year 2002 and for the 1st and 2nd quarters of 2003 and thus misled shareholders and investors about DAIDO?s true financial condition. The said actions were in contravention of Section 312 of
/Nor/Khor. 37/2553 re: Prohibited Characteristics of Personnel in Capital Market Business dated September 15, 2010. The actions were in violation of Clauses 23(2) and (3) and the prohibited
Operators dated September 15, 2010. The actions were in violation of Clause 23(2) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the Notification of
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
, in accordance with the rules and procedures specified in the terms and conditions; (3) Approving related actions concerning the bond series, with details as follows: - Granting an