Seandar Inc. Seandar Inc. (or Seandar) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to

to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to

embezzling client assets with the intention to deceive the client as well as interfering with client assets in breach of Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange

violation of Section 307, 311, 312(2) in conjunction with 313 of Securities and Exchange Act B.E 2535 ("SEA").On June 28, 2011, the Southern Bangkok Criminal Court convicted Suradej Mookayangkul, the

investment consultant, assigned {B} to take care of the clients as well as make investment analysis and give investment advice. {A}'s action was deemed as breach of duty and failure to exercise due care, while

behalf of the client.  In this regard, Theera and Nongun?s actions were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for

trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client.  In this regard, {A} and {B}'s actions were in violation of

decisions and informed the client afterward. The {B} case was in response to a complaint lodged by a client. The SEC looked into the conversation records between {B} and the client and found that she was

were deemed a breach of duty under Clause 11 (1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement