งานกำกับดูแลการปฏิบัติงาน(compliance unit) จัดทำและดูแลบัญชีรายชื่อหลักทรัพย์ซึ่งหน่วยงานกำกับดูแลการปฏิบัติงานต้องติดตามการทำธุรกรรมที่เกี่ยวข้องกับหลักทรัพย์ในบัญชีดังกล่าว (watch 

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies.  Evidence indicated that she had performed her duty dishonestly in order to obtain

, competing for the Royal Trophy bestowed by Her Royal Highness Princess Maha Chakri Sirindhorn. As a supporter of the competition, the SEC also sent its badminton team to participate, fostering

of Her Royal Highness Princess Maha Chakri Sirindhorn. The SEC supported the tournament and fielded a football team to compete with more than 30 other participating teams, aiming to foster

months; however, since the approval period of the investment consultant will expire on 31 December 2020, SEC has decided to suspend her approval from 6 March 2020 to 31 December 2020. In addition, SEC

and General Administration Department, the Human Resources Department, and the Organizational Risk Management and Governance Development Department. Her appointment will become effective on 16 May

specified offences; for instance, market manipulation, insider trading or dishonest act shall  be deemed to have untrustworthy characteristics and shall  be vacated from his or her directorship or executive

. Miss Chanthani used such non-public information material to gain unfair benefits over other persons by virtue of her position as a directors’ secretary of RASA. Furthermore, Miss Chanthani invited Mr