(Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the client's securities account without client?s order and resulted in the trading loss. In addition, several
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
during March ? May 2008 and August 2010 and MAX shares in September 2010, the SEC probed into the case and found that Shine and others had continuously sent securities trading orders through trading
, 2013.With a referral on the {A} case from the Stock Exchange of Thailand, the SEC probed into the case and found that {A}, then Senior Vice President Retail Sales 1 of Siam City Securities Co., Ltd., had
Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders
and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager
Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined
Special Investigation (DSI) for manipulating prices of 12 securities during 2008-2010.With referral from the Stock Exchange of Thailand on irregular trading condition of 12 securities, the SEC probed into
, the SEC probed into the case and found that he was guilty.Yesterday (August 7, 2012), the Criminal Court ruled against him for violating Sections 281/2, 307, 308, 311, 312, and 313 of the SEA. As he had
. The SEC probed into the case and found that {B} traded securities on behalf of his client. He submitted trading orders through client's account and informed him afterwards. He also traded securities