allow some NMG shareholders to attend and exercise their voting rights and some attending shareholders to cast their votes on certain agenda items at AGM. According to the consideration of the Department

disclose such information so that he will receive consideration from the person who engages in the said acts. A violation of this Section is subject to criminal liabilities involving further procedures of

information. Nattha Rungwong used rumors or news pieces that had yet to be confirmed by reliable, related parties as a basis for his advisory comments such as rumors of big lot purchases of certain

money into her own banking account, claiming the objective of subscribing certain securities that was not even issued for sale at the time; 2. Deceiving a client to transfer money into a banking

Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

registration of the change of IFEC directors derived from the cumulative voting because it was a breach of the company's articles of association and in violation of Section 70 of the Public Company Limited Act

chairman of NMG and the AGM on April 29, 2015, did not allow some NMG shareholders to attend and exercise their voting rights and some attending shareholders to cast their votes on certain agenda items at

, allowing other persons to access client information is deemed a breach of investor confidentiality agreement, a careless, imprudent performance of duties, a negligence of investors? best interest, and

breach of duty is found.  The above unprofessional acts were in violation of Clause 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of