judgment in relation to Suree that she was an aider and abettor rather than a principal, and thus sentenced her to a four-month imprisonment and a fine of 133,333.33 baht for the violation which occurred

she had already been subject to one-month suspension imposed by his employer, the suspension imposed by the SEC shall remain for 3 months, effective from May 20, 2015. *Clause 20(2) and (3) of the

,? she added.? In any case, the SEC rulemaking on intermediaries? work systems emphasizes more on principles based approach and minimum requirements to better respond to business models and risk profiles

ID document requirements to other matters such as exercise of right offering or share warrants,? she added.

., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies.  Evidence indicated that she had performed her duty dishonestly in order to obtain

) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized

showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities

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

and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, she acted as follows

as originally intended by the investor. In so doing, she made and sent false documents to the investor to lure the investor into believing that the subscription transactions had been executed