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
authorities, as well as with online platform providers that are often used as channels for investment scams. In this regard, Thailand was noted to have achieved a relatively advanced level of cooperation with
:· Formal recognition, including the presentation of a commemorative award and a special Investment Knowledge Provider emblem from the SEC, which may be used for publicity in educational activities or in
Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve