other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14
Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor
Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of
capital market business under the 3rd category of Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated
and derivative business operators throughout such same period. * Clause 4 and Clause 31(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in
defendant is guilty will be proceeded by the inquiry official and the public prosecutor, and the court will judge the case, respectively. ----------------------- * Clause 3 in conjunction with Clause 4(3
duties honestly in violation of Clause 23(1) and characteristics of personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8
: Clauses 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 and prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification