-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues as specified by Section 289 of the SEA. The SEC
/Nor/Khor. 37/2553 re: Prohibited Characteristics of Personnel in Capital Market Business dated September 15, 2010. The actions were in violation of Clauses 23(2) and (3) and the prohibited
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The SEC has therefore filed separate complaints against the four
by Noppawan and Viroj who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation.The aforesaid offenses were in violation of Section 243 of the
taking an unfair advantage of other persons in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992.In this case, the offender refused to enter
performance of duties, interfering with investors? assets in concealment and creating false evidience in violation of or non-compliance with the notifications of the Capital Market Supervisory Board concerning
conditions. The three persons? offences were in violation of Section 243(1)(2) in conjunction with Section 244, and liable to the punishments under Section 296 of the Securities and Exchange Act B.E. 2535
duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as
and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment