, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana

from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed

AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific

2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3

Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (2) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5

accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1

client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged