his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation

Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant.  The client

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders.  Following a report from Bualuang Securities PLC., the SEC further probed into the case

crisis. However, in promoting high CG standard among listed companies, real benefits and burden costs should be taken into account. Asst. Prof. Pradit Withisuphakorn, researcher, Faculty of Business

the Securities and Exchange Act B.E. 2535(1992) (SEA) in conjunction with Section 83 of the Penal Code.  The DSI and public prosecutors probed into the case and decided to pursue charges against them

turn their ideas into high value and innovation created businesses; (4) growth and quality for capital market; and (5) prosperity and sustainable growth for the country in terms of economy and public

securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A

failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment