facilitating the financial transactions while Aiyarin helped to make trading orders of  KC shares in Supranee?s account.The acts of Supranee, Pongpop, and Somboon were considered to be in contravention of

allowed Wichai to use the document in committing the said acts. The SEC therefore requested the DSI to investigate whether the act of such company secretary would be considered aiding or abetting Wichai?s

the documents in committing the said acts. The SEC therefore requested the DSI to investigate whether the act of such company secretary would be considered aiding or abetting {A}'s fraudulent act.In

in Thailand and be listed on the SET will be considered as direct foreign equity offerings. Accordingly, the companies must comply with the same rules and additional rules and conditions as the case of

warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under

policy of their preference and tax privileges equivalent to retention of the total benefits in PVD.        In addition, the transferred money from PVD to RMF is not considered a usual investment in RMF and

jointly with Thanjira repaid debt to Tisco Asset Management Co.,Ltd. From the said facts, Surasak was considered as jointly with Thanjira engaging in dishonest conducts. The aforesaid actions were in

capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his

). In this regard, the SEC has considered introducing PP regulations governing the offering of newly issued shares and CDs by LiVEx-listed companies. The proposed regulatory framework is intended to

, resulting in client not receiving transaction related documents.The SEC has considered Mr. Soontorn’s actions to be a failure to perform his duties or provide services with honesty and good faith, involving