. The SEC probed into the case and found that {B} traded securities on behalf of his client. He submitted trading orders through client's account and informed him afterwards. He also traded securities
exposed to any market risk and gained profits from every transaction they entered into in connection thereof. For the sale side, Numkrit sold the securities owned by UBS?s clients to his conspirators at the
the shareholders? meeting to enter into related party transaction with Ua Withya Plc (UWC) to purchase shares of Imperial Land Company Limited (IMP) and the claim over outstanding loan and accrued
report of Country Group Securities PCL, the SEC probed into the case and found that {A}, a securities investment consultant and the executive vice president of the branch, traded securities on behalf of
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded
subsquently strengthen market credibility, balanced market ecosystem, efficiency and competitiveness. Well-rounded perspectives and practicality are taken into account in response to increasing varieties of
investment consultant for a period of two months for failing to keep records of investment advice and clients' trade order instructions. Taking into account that he has already been suspended by his employer
apply such information to business strategies. Investors are able to learn of listed companies? commitment and policy against corruption from securities firms? analysis reports prepared by taking into
Financial Education (INFE) said ?This Seminar highlighted the importance of taking into account regional and national specificities such as in Asia and Thailand. But the main underlying objectives are common