contain provisions related to the use of a nominee account or allowing one?s trading account to be used as such in the commission of a market misconduct offense. (2) Civil Penalties: The civil penalty is

made-up investment project. In so doing, Panita replaced the names of the depositors with those of several other clients who were related to herself and used the money to trade securities via the trading

internationally used in assessing corporate governance standards.In conjunction with the I Code launch, the SEC and eight other regulatory bodies and institutional investors have officially declared mutual

any business related to capital market for two months, effective since 25 August 2017. In the case of (4), {D} used the money a client received from a fund that had reached maturity to buy units of a

regulations. For example, they withdrew money from the clients' accounts and used it for other persons' unit purchases in absence of the accounts' owners, or executed unit purchase orders by charging the

clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of

from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed

used for the benefits of such TUCC executives. The actions of Yongyuth, Vacharee, Suchit, Nitaya and Suttirat to jointly proceed for TUCC to make false records on the purchase of black steel from eight

revenues in the ledger and used such numbers in the company?s financial statements for Q2, Q3 and 2004. Consequently, PICNI?s financial statements in 2004 showed irregular profits of 178,440,072 baht, which

used a client's account to transfer and keep the acquired shares. {C} obtained a discount from the purchase and profit from selling some PAO shares to his two clients and {E}, another investment