the case of Thai national holiday, selling agent may exercise own discretion whether to trade investment units providing that the service information must be disclosed to investors in advance. In

? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the

assets, including government or corporate bonds and deposits. The asset management companies might offer investors certain options on terms and payout periods or allowed them to customize their own

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of

trade such shares. In addition, trading orders were matched to benefit the same persons. Prayuth, Naruephol and Ladda aided the wrongdoings by using their own accounts to manipulate METRO and TUCC share

approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or

most highest right. (Translation) -8- ▪ Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of

. This will permit market participants to draw their own conclusions about whether the CRA has implemented the IOSCO CRA Code to their satisfaction, and to react accordingly. In developing their own codes