defendant, for his contravention of Section 307, 311, 312(2) and 313 of the SEA. Defendant?s wrongful acts involved in several distinct and different offences and shall be penalized based on counts in
damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that
investment consultant for three months. Since he has already been subject to a three-month suspension imposed by his employer, the SEC considered that he has already been punished by the SEC ' s order. For {E
suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already penalized Prapai by prohibiting her from
penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3
provide scale benefits and improve operating capabilities. In response to industry headwinds, Management has improved its special focus on cost and working capital optimization programs. Disciplined
respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under the
proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under Paragraph 1 shall not be applicable to the case