) 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
procedures to determine the validity of such service providing was found. In case of another company, his observation and random count of physical inventories found discrepancy between the outstanding balance
Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant. The client
by a group of persons during July 21 - August 20, 2008, the SEC probed into the case and found that {A} {B} {C} {D} {E} and four other accomplices had colluded to trade UKEM shares through seven
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a
information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older
Vorapol Socatiyanurak. As agreed upon the joint meeting of the SEC and AIMC, in case of irregular foreign ETF closing price, asset management company may use indicative NAV of foreign ETF calculable from