referral from the Stock Exchange of Thailand, the SEC's probe found that during July 27 - August 15, 2011, {A} sold 29 million {X1} Company shares in securities trading account of the {X2} Company. She

price. The information was about allowance for doubtful account on 26 trade accounts receivable worth 43.99 million baht which resulted in TUCC?s 104.86 million baht loss in Q2/2011.  Yongyuth also gained

(PAP) through the trading account of another person to seek unlawful personal gain.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed that on

through monthly financial statement of January and February 2016 to buy 258,200 PTL shares in Mr. Rahul’s securities trading account on March 17, 2016 and jointly with Mr. Anurag use the information on

change in price or value of LPN shares) purchased LPN’s shares through her own securities trading account between May 7 and 21, 2020. Additionally, Miss Nawarat also purchased LPN shares in her own

บุคคล (company account) 3. การแต่งตั้งผู้บริหารบัญชีผู้ใช้งาน (account administrator) 4. การมอบอ านาจเจ้าหน้าที่ปฏิบัติการส่งข้อมูลแทนกิจการ (การยื่นแบบ EF-2/EF-3/EF-4) 5. การสมัคร Digital ID ▪ การเตรียม

. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account

through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information