securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
) Enhancing clarity in the management of conflicts of interest (COI) by establishing clearer guidelines on transactions between funds or between clients under the same management (cross trade), in line with
reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of
reference. Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of the
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
September 2013, Mr. Siwasit Sainumphung colluded with the five persons above to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing
clients showed trading transactions made on a continual basis and in high volume but the source of orders was not found. Besides, {A} persuaded the clients to trade securities where he was the one