revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
Other Acts of Listed Companies on Connected Transactions,B. E. 2546 dated 19 November 2003 ( as amended) ( the " Connected Transaction Notifications" ) . the company will take into account the persons
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
transactions and the transaction size is not deemed as an acquisition and disposal of assets pursuant to the notifications of the Capital Market Supervisory Board and the Stock Exchange of Thailand. Please be