mentioned above – having business relationships and/or direct personal relationships or connection through related persons – collaborated and sent trading orders of shares of Nation Multimedia Group Public

relationships, direct or connected through related persons, – had colluded, with divided assignments, to send trading orders of STAR* shares in a consistent and supportive manner so as to push up the share

2018, the six offenders with personal relationships or connection through financial routes, stocks, business or related persons, colluded by dividing tasks to place orders to buy and sell PRINC shares in

obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to

through the SET Electronic Listed Companies Information Disclosure (ELCID) regarding the change in the use of proceeds from its capital fundraising by allocating 5.58 billion baht to a private placement and

client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B

information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."