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
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
information material to GLOBAL share price concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited. Mr
Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. SEC Act
Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. SEC Act S.241 in conjunction with Section 86 of
GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public
the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited. Mr. Surasak used such non-public information