Department of Special Investigation (DSI) to pursue legal actions against (1) Prachai Leophairatana - Chairman of the Executive Committee of TPIPL rehabilitation Plan Administrator, and (2) Stern Stewart & Co
into the trading. The actions of Sermkirt, Wichian and Pratheep were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) in conjunction
orders and payment. The said actions were in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee
said actions were in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee therefore imposed fines on {A
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities
down the business or delist SPSU shares from the SET. Later, SPI launched a tender offer to purchase SPSU shares at the price higher than the market price during such period. The said actions were in
the aforementioned information learnt from her position of TUCC chief finance officer. Yongyuth and Vorapin?s actions were in violation of Section 241 which is subject to sanctions under Section 296 of
trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by
any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for