punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to

อยู่ ทำการออก bank guarantee ให้แก่ผู้บริหารอสังหาฯ เพื่อให้ bank รับผิดชอบค่าใช้จ่ายที่อาจเกิดขึ้นจากการที่กองทุนเลิกสัญญากับผู้บริหารอสังหาฯ กรณีนี้กองทุนจะขอให้

having medium to high risk level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete

level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in

suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the

case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were

derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E

Providing Guarantee for Insured Mutual Fund by Securities Company in the Category of Securities Finance Business (No. 2)

-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues as specified by Section 289 of the SEA. The SEC