rules, issuer will be barred from the following PO submissions for a certain periods of time. Aforementioned revised rules has already been effective.

office agreed to execute such transaction even though the contact phone number was not the one given by the client;      (3) surveillance system to prevent conflicts of interest: the system was found to be

contact the client via the phone number given by the client, and (c) the back office agreed to execute such transaction even though the contact phone number was not the one given by the client;      (3

reimbursement of the investigative expenses incurred by the SEC, at the total amount of 6,873,854 baht, and shall be barred from serving as a director or executive for 14 months;           (2) Krit and

. The SEC therefore filed the criminal complaint against both persons with the DSI for further legal proceeding. Consequently, they are automatically barred from serving as capital market personnel or as

any expenses incurred from investigating the offence. He was also barred from serving as a director and executive of securities issuing companies and securities companies for a specific period.*Since

10 months, and shall be barred from serving as a director or executive in a securities issuing company or a securities company for 20 months;           (2) Sujeera shall pay a civil penalty, a

investigative expenses incurred by the SEC at the total amount of 6,836,479 baht, and shall be suspended from trading securities or derivatives for 10 months, and shall be barred from serving as a director or

, Kannida, Pakkawan and Kanchanarath, are prohibited from trading securities or derivatives for a period of 30 months each and are barred from serving as director or executive in any securities issuing

proceedings resulted from denunciation by such authority or have been barred from serving as director or executive of the financial institution or have been imprisoned by the court’s final judgment regardless