securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's
persons opened at UOB Kay Hian Private Ltd. and EFG Private Bank SA in Singapore, had knowingly used these accounts to trade UNIQ shares during July 20, 2009 ? April 7, 2010 in the manner that inflated and
entitled to revenue sharing around 1,120 million baht.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that Sunthorn had attended the negotiations between SOLAR
?s subsequent probe showed reasonable evidence that in 2009 Bee Taechaubol, then IEC director responsible for the company?s operation and asset management, had violated his duties as a company director
shares, the SEC probed into the case and found that ?(1) From September 13 to November 16, 2006, Somchai Chaisrichawla had colluded with Chaninan Luangwaykin, then Senior Vice President Retail Sales 1 of
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he