ชื่อผู้ได้มา/จำหน่าย :?OFFSHORE DYNAMIC FUND INC. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 09/05/2549

2. Mr. Thanathorn ChuchatpongFollowing order of person who is not an account owner or authorized by the client causing damage to such client

to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87

Sanction 1. Mr. Sakda Sangkul Managing client?s account and making decision to buy or sell securities for client without client?s order

Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint

Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client

provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

Re: Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. 1. Kittipong Piyasakulsiri (three-month suspension) ? Having used a client?s account to trade securities for himself

, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account