constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover. The SEC’s further investigation after a tip-off has revealed that NEWS, POLAR and
revealed that NEWS, POLAR and Siwasit jointly acquired NMG shares at approximately the same period of time in an attempt to take over NMG business. The three parties’ combined acquisitions exceeded any 5
acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover. The SEC’s further investigation after a tip-off has revealed that NEWS, POLAR and
December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012