close the position of derivatives contract with SET50 underlying at-the-open (ATO) price as soon as the trading session began.* However, since the client sent the order after the trading had already

their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to

his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the

in the Civil Court for payment of the maximum civil penalty. As a result of the civil sanction, the three offenders, who are currently holding the position of director and executive of a listed company

submit the total amount of the civil penalties and the compensation to the Ministry of Finance as public revenue. Apart from the civil sanction, the SEC banned Sarath from holding the position of director

as 1.21 times, which significantly affected EARTH's financial position. In addition, the sources, existence and status of such liabilities are still unclear and may widely affect the benefits of the

every account had never been used to trade KARAT shares prior to Apichart?s holding a position of legal counsel for this business deal. The record showed that trading of KARAT shares through those

) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as

allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities

responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons