the following clauses in three notifications: (1) Clause 4, Clause 5, Clause 11 and Clause 14 of the Draft Notification of the SEC Office No. Sor Nor. /2564 Re: Details of the Mutual Fund Scheme
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
effective from May 30, 2015. * Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
from May 30, 2015. * Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses
considered that she had already been suspended by her employer no less than the said period, the suspension imposed by the SEC is deemed to have been served.* Clauses 20(1) and (2) of the Notification of
November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and
chemical products. Clause 23. To act as broker, agent or commission agent in trading of chemical products both domestic and foreign markets. To comply with the amendment of Company's objects from 20 Clauses
specified by the client. He then made payment to such client for his own securities trading.The aforesaid acts of {A} and {B} were deemed dishonest and unprofessional in violation of Clauses 20(1) and 20(2