a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share

Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

Mr. Sanith Adhyanasakul Mr. Sanith Adhyanasakul, Chief Executive Officer of Property Perfect Public Company Limited (?PF?) ,who is responsible for the operation of PF, had duty to supervise the

Mr. Wutthiphum Jurangkool Mr. Wutthiphum Jurangkool, Chief Executive Officer of Nok Airlines Public Company Limited (?NOK?) ,who is responsible for the operation of NOK, had duty to supervise the

Mr. Surin Tohtubtiang Mr. Surin Tohtubtiang, Chief Executive Officer of Kuang Pei San Food Products Public Company Limited (“POMPUI”), who is responsible for the operation of POMPUI, had duty to

depository” means a securities depository under the Law on Securities and Exchange; “short selling” means a sale of securities which have been borrowed for settlement. Chapter 1 Persons with the Duty to Report

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

Mr. Somprasong Panjalak Mr. Somprasong Panjalak, Managing Director who is responsible for the operation of Prime Road Power Public Company Limited (?PRIME?), had duty to supervise the preparation