) Mrs. Sasinapa Waraporn. These persons who are connected through personal relationships, financial transactions, securities trading, as well as the channels and locations used for placing orders, divided

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

Bualuang Securities Plc. and Seamico Securities Plc., respectively, aided and abetted the manipulative trading by executing such trading orders, taking orders from person who was not the account owner, and

during March ? May 2008 and  August 2010 and MAX shares in September 2010,  the SEC probed into the case and found that Shine and others had continuously sent securities trading orders through trading

Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:  (1) Prohibiting local securities companies from accepting orders of purchase

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:       (1) Prohibiting local securities companies from accepting orders of

to comply with investors’ orders. In the event that such compliance cannot be done, investment consultants must inform investors immediately and must not make a trading decision without investors

the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged