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
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
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
., BANGKAE, BANGKAE, BANGKOK, THAILAND. 10160 Tel: 02-455-2888 Fax: 02-455-2763 (“TRANSLATION”) TG 195/2560 November 8, 2017 Subject: Clarification of the Operating Result for the significant change - Update
concerning relevant parties and personnel in charge of communications. Clause 5 Intermediaries shall update information relating to the personnel in charge of operations under Clause 4(2) and the relevant