trading accounts to commit unfair trading activities was subject to the penalties under Paragraph 2 of Section 297 of the SEA in conjunction with Section 83 of the Penal Code.In the case of Pilailpit, by

commit unfair trading activities was subject to the penalties under Paragraph 2 of Section 297 of the SEA in conjunction with Section 83 of the Penal Code. In the case of Pilailpit, by letting Atthavut and

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

as IFEC chairman, was named in the SEC's another criminal complaint filed with the ECSD on the ground of acting dishonestly to seek unfair benefits for himself or other persons by using a wrongful

seek unfair personal gains all over again.  In addition, some of the investment consultants sent selling orders of investment units in the clients' accounts by counterfeiting unit sale documents, opening

, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent or

granted, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent

, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

a listed company; (3) being considered under an accusation or criminal proceedings by an agency with legal authority for an offense related to unfair activities against derivatives or securities

agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money