complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

fund) instead of the whole master fund. This policy-based calculation will also apply to investment in assets of the employer and companies in its group;           (2) Investment in units of mutual fund

policy. On the contrary, should securities and asset management companies do not emphasize on such policy while others do, they would instead become the ones to handle social pressure,? Chalee added.   

resulted in SINGHA?s 2007 financial statements having 63.7 million baht operating profit; instead of an operating loss.There are grounds to believe that such false revenues were items on sales of the wood

period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 9, 2014.  

of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 27, 2014. For {B}'s case, the SEC suspended

the client of FIFO criteria applied by the Revenue Department.  Accordingly, instead of the LTF investment units purchased in 2013, the selling order resulted in deduction of the units purchased two

the period of ten years. Owing to the fact that Nakul?s approval as fund manager was expired and he has not been in the capital market business recently, instead of imposing revocation order, the SEC

that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among