bank accounts of nine persons, namely Pataman, Supichaya, Meesak, Apinunthakan, Tepparit, Tree, Phawit, Siriya, and Chanatip.  Trading from these accounts were sent and matched within the group in the

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of

received the report from Siam City Securities Co., Ltd., on its investigation into misconduct of Meaunchit who had sent trading orders of other individuals through her clients? accounts without such clients

that Sagha Sakulekpaisan (former name: Chakchai (Thana) Sae Jiem, also known as ?Here-Tee") had sent, through the accounts of eight persons, trading orders of FOCUS shares during April 24-25, 2008, IFEC

} had informed the client the trading results via email while RHB OSK Securities (Thailand) Plc. had sent trading transaction confirmations, statements of cash, collateral settlement, and credit balance

period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by

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

, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading