, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for
authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
reference. - ราง - Notification of the Capital Market Supervisory Board No. Tor Jor. 63/2561 Re: Approval Rules on Offer for Sale of Newly Issued Bond of Foreign Entity Denominated in Thai Baht
and the management, discussed approaches that the SET could adopt to review rules relating to securities trading in cash account, particularly in placing asset as collateral before purchasing in
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities