client?s account and concealed her wrongdoing to deceive the client. Her actions contravene Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15
payment for such transactions. His actions were deemed unprofessional conduct of business. 2. Wittaya Permpongsacharoen (one-year probation) ? Having accepted a client?s order to make selling
services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and other businesses.Those actions might be considered as persuading and issuing newly issued securities
such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset
the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating
the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a breach
requested the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a
aforesaid. Her actions were deemed unprofessional and non-compliance with standards of conduct of investor contact that should place importance on investors' benefit, as interfering with client's asset may