via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those

client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading

of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC disclosed inappropriate behavior from May 7, 2014 and suspended {A

investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for

Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading

into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client.  In so doing, {A} failed to inform the

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case

Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98