guidelines in detail regarding the consideration of cases involving severe legal violation or causing severe and significant effects.In addition, the amendments to the IPO regulations apply to both Thai and
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
trading values and volumes to be inconsistency with normal market condition to mislead and lure the general public into such trading and were therefore in violation of Section 243(2) of the Securities and
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
inconsistency with normal market condition. The scheme was aided or abetted by {D} {E} and five other persons.Their actions were in violation of Sections 243 in conjunction with Section 244 of the Securities and
; an increase of 6.14 million shares or 975.28 percent. The above acts were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) in
notify his client of some transactions.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of