public offerings of two issuing companies concerning filing of application for approval for public offering of shares, registration statement, and draft prospectus (filing).Akekajak failed to perform due

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Reported by

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

liable to collusion to commit a fraud and failure to perform duties with responsibility, discretion and integrity. NMG subsequently suffered damage from their violation or failure to perform duties

performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended

) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated