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

her choice for his or her comfort in the translation accuracy. Additionally, the statement must be certified by the interviewee in every process. In case of Mr. Nielsen, he brought his own translator

addressed a concern on legal issues in case where the foreign bank branches in Thailand encounter financial hardship and the assets located in Thailand are not adequate to cover the repayment of all

a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the

introduced under the revised regulations enabling the issuer to make several offers for sale of debt securities by simply filing securities? features and additional information in case of the event affecting