findings were similar to the previous investigation in that {A} had falsified documents for securities purchasing orders to deceive NIPPON into paying for such fictitious purchases in the total amount of
(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
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
transactions. Witoon, who was chairman of the management committee of GLOBAL, had the decision making power over the terms and conditions of an agreement between GLOBAL and SCG Distribution Co., Ltd. (SCG), a
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
submitted a selling order for the first client?s investment units and deposited money obtained from the selling into a saving account she opened at Tisco Bank Plc., using the client?s signature that she had
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking
securities has selected in the Universe of ESG 100 securities group of 2018. Results of the Quality Assessment of the Annual General Meeting of Shareholders Thai Investors Association had assessed the Annual