failure to perform duties with responsibility and due care as the capital market professional were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital

violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market

assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment

case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were

account, and using the client?s securities trading account for his own benefits were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the

unlawful gains for the benefit of herself and others, in violation of Section 311 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Phra Suthep Arpassaro (Panpai) and Vachala Pisitsak were also

by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the

resulted in SINGHA?s 2007 financial statements having 63.7 million baht operating profit; instead of an operating loss.There are grounds to believe that such false revenues were items on sales of the wood

period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by