, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307

action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308

in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair

orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market

licensed to operate securities businesses in the category of mutual fund management and investment advisory nor licensed to operate derivatives business, his actions were in violation of the Securities and

จัดการ (passive breach) จะไม่ถือว่าบริษัทจัดการมีการกระทำผิดเกณฑ์ เช่น มูลค่าทรัพย์สินที่กองทุนลงทุนเพิ่มขึ้นหรือลดลงมากกว่าปกติ ผู้ถือหน่วยลงทุนขายคืนหน่วยลงทุนมากกว่าปกติ หรือตราสารที่กองทุนลงทุนถูกปรับ

underwriting of TAKUNI and CCN securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or

subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax