failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC
securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com. The said actions were subject to an imprisonment from 2
value was 553.94 billion baht, more than 32 percent increase from the previous year. Moreover, some of long-term bonds were offered for sale by 24 first-time issuers while 56 companies were newcomers for
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