trading. The aforesaid actions of Shine were in contravention of Sections 243(1), (2) and 244 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code

regulator, strictly pursues legal actions against wrongdoers to propel the whole market confidence. The success of outcome and damage alleviation for NIPPON were occurred from integrate efforts of enforcement

Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under Clause

submitted in the manner that continually affected the share price. The actions of four investment consultants were deemed as misconducts concerning share price manipulation while the action of executive

derivatives trading orders via the internet from the IP address of Krungsri Securities. Those orders were submitted for a certain period of time.  The actions of Ashiya, Onjira and Wasana that made trading

were submitted for a certain period of time.  The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in

interactive communication forums with market participants to encourage information/view sharing and team-based problem solving; Preventive: setting a healthy balance between punitive and preventive approaches

as follows:1. Strengthening Enhanced CDD and the monitoring of unusual transactions by requiring business operators to take the following actions: (1) Conduct Enhanced CDD in cases where information

of electrical energy, water, and energy. Social The Company conducts business in accordance to human rights principles, based on its philosophy which places importance to peace, human beings and

2017 and implementation of resource management in business operations, which are; 8 1. Reducing the use of paper and plastic; 2. Waste management; and 3. Management of electrical energy, water, and