documents, reports and accounts. His actions were therefore also deemed in contravention of Section 312 of the SEA. In this case, the SEC also found that the company secretary at that time responsible for

 {A} from the duty as the approved securities investment consultant for 4 months, effective from April 23, 2015.  As the suspension was deemed as the 2nd category of prohibited characteristics of

potential change in the securities price is deemed to be taking an unfair advantage of other people. Such action is in violation of Section 241 and liable to the penalties under Section 296 of the Securities

SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of

orders without client authorization are deemed interference with clients assets and unprofessional duty performance without clients best interest in mind. Such misconducts may cause damage to clients and

the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the

addition, Exmix solicited and promoted the use of its services through the aforementioned websites via social media channels in the Thai language.Such Exmix’s actions are deemed to be the operation of a

failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital

criminal complaints above are deemed to have untrustworthy characteristics of directors and executives of securities issuing companies and listed companies*, and are thus barred from serving as directors

Supervisory Board No. ThorChor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets and the Notification of the Board of Governors of the Stock Exchange of