the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client ; (2) entering into transactions by exploiting information, relevant to its
; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3
into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary, or its directors, executives or other personnel; (3) receiving or
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
reliability of personnel in the capital market business in a significant manner or [ii] a collusion or supporting such demeanors of other persons, for example, seeking or exploiting any benefit for oneself
under Thai or foreign law in the following matters: 1. engaging in any unfair trading of securities or exploiting investors in trading securities or derivatives; 2. undertaking dishonestly or causing