capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
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
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
offences committed by Bordin and Noparat were liable to violation of Section 243(1) in conjunction with Section 244 and Section 243(2) of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and Section 83
licensed to operate securities business in accordance with the Securities and Exchange Act of 1992. Their actions are in violation of Section 90 and liable to the penalties under Section 289, i.e
securities business pursuant to the Securities and Exchange Act of 1992. His action was in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on