derivatives trading decision on client's behalf.     {G} case was in response to investor compliant indicating that she had made decision to buy securities without her client?s order causing damage to the

Mrs. Panadda Suntornsaratul. The purchases were made in such a way that taking advantage of others by using non-public information material to RASA share price concerning the joint venture of RASA

Limited (“TIES”), through securities trading account of Miss Ornsiree Chinkamtornwong. The sales were made in such a way that took advantage of others by using non-public information material to TIES share

Engineering Service Public Company Limited (“TIES”), through securities trading account of Miss Ornsiree. The sales were made in such a way that took advantage of others by using non-public information material

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds  to both SEC and BOT on a monthly basis. In order

to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold

a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share

must be within the scope agreed by the clients in advance, in order to expand the service scope of the business operators and meet the investors’ requirements in a more comprehensive and convenient

million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false