POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company.  In addition, he permitted false records or no record of important information in the company?s

: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore

his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send

the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting

imprisonment for a term of five to ten years and a fine of THB 500,000 to THB 1 million. The SEC is also investigating other issues in connection with the fair value of assets and records of accounts, and if

this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing, underwriting, mutual fund management, private fund

benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market