to March 27, 2009, Maris, then ING Funds managing director and T.U. Dome fund manager, and Burim, also T.U. Dome fund manager at that time, had performed their duties dishonestly by proceeding for T.U

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make

informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders.  She sometimes sent trading orders and informed the client afterwards. {A

another person. Then, the shares were resold to ZMICO at 19.75 baht per share which was not the normal market price. Later, the public prosecutor issued a prosecution order and filed a lawsuit against

damage to Bliss-Tel Public Company Limited (BLISS). The SEC found that Penkae and Tan, then holding position as BLISS investment board members having power to make securities investment decision and

Thailand (SET), the SEC?s further inspection has revealed that on 3 November 2014, Pichet, then director, executive director and managing director of accounting and finance of MLINK, reported to the SET a

of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Paweena, then president and chairman of the executive board of UMI, together with Punnaporn, Warunya and Trairath agreed

clients' securities trading orders. She then admitted that the clients' trading orders had been received via mobile phone and via blackberry messenger. In this regard, the aforesaid actions are in violation

her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November

admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed.  {A} also admitted