Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS. (3) transferred money through the requests of capital increase, a
of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS. (3) transferred money through the requests of capital increase, a
future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS. (3) transferred money through the requests of