to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time.  Despite no intention to conceal information in the

found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

in any  particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's

the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a

borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its

. Instead, other shareholders bought the said unsubscribed portion at the price lower than book value. Despite the audit committee?s inspection on the matters, the auditor issued a disclaimer of opinion

that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete

a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that

construction projects, despite the fact that the services did not exist, with intent to deceive other persons. The said action was in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992

trading decisions on the client's behalf from June 2009 until April 2011.  Furthermore, she asked the client to sign the application of the securities transfer despite the amount of the client's securities