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

accuracy of financial statement information, less time-consuming process and lower cost for public and private sectors.? The SEC gave advice on standardizing taxonomy by taking into account the relevant

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

must be filed with the DSI.    Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity

being traded in great volume and the price was changing inconsistently with normal market conditions, to lure the public into trading such shares.   Somchai?s offense was in violation of Section 243 (1

draft amendment has taken into consideration the results of the previous hearing on the governing principles conducted in January, and is expected to apply to the reporting of financial statements for the

SEC took into consideration public comments and suggestions gathered from the previous hearing on the principles of the PO rules in October last year.The consultation paper is available at www.sec.or.th