into the encountered problems and obstacles, which in turn can be taken into account for the formulation of and improvement in the supervisory directions and mechanisms for further development of the
trading volume to be inconsistent with the normal market condition, the SEC probed into the case and found that Prasong as the owner and beneficiary of 14 securities trading accounts of foreign juristic
shares, the SEC probed into the case and found that ?(1) From September 13 to November 16, 2006, Somchai Chaisrichawla had colluded with Chaninan Luangwaykin, then Senior Vice President Retail Sales 1 of
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s