consultants to make trading decision on their behalf and always submit trading orders via recordable channels. *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited
personnel in the capital market business, the bank must not allow him to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(1) of the Notification of Capital Market
employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market
) B.E. 2551 (2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of
(2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of persons which