Conduct dated 14 October 2009. Kruawan had traded securities through her client?s account every business day. Her trading manner with high frequency and trading volume, when compared to the client?s credit

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

basis.  The report must contain every securities trading order including non-matched order together with details on sending time, canceling time, number of shares and share prices. Moreover, the statement

Section 125 of an imprisonment up to three years or a fine not exceeding 300,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues. The SEC

merely filling the report form. Rather, the board of directors and management?s functions must truly be independent to promote confidence. The next one is ?CSR-in-process? where CSR is embedded in every

publicize Anti-corruption Progress Indicators of every securities and asset management companies from 2016 onwards. The disclosure aims to show implementation progress of securities business operators? anti

-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues as specified by Section 289 of the SEA. The SEC

subject to an imprisonment from 2-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues.  The SEC therefore

information that every company has to prepare to respond to inquiries from the investing public. We need to review the quality of MD&As to ensure they have illustrated essential information correctly

fine not exceeding ten thousand baht for every day during which the violation continues. The SEC therefore filed a criminal complaint with the ECD Police against these firms and the related persons. In