for sale of newly issued securities in the category of debentures and bills without obtaining an approval from the SEC office resulted from the instructions or the failure to give instructions which is

Mr. Yuttana Lipirodkul Mr. Yuttana Lipirodkul operated securities and derivatives businesses without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

person jointly 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 sanctions under Section 289

without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the

Mr. Kaow or Sakkarin Sricharoen Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E

executives of Circuit Electronics Industries Plc. (“CIRKIT”), in misappropriating company assets or obtaining unlawful gains for themselves or other persons, thereby causing damage to CIRKIT. the public

committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening

juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents.  In addition, SEC has prescribed a procedure for

advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC