Limited (SUPER) shares.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further inspection has revealed that Khumsup took advantage of the material information, which had not been

committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the

suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country

failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC

Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and

was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further

an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He

complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities

พฤติกรรมที่ไม่เหมาะสมราย {ฆ}ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} (ขณะยังทำงานสังกัด บล.เคที ซีมิโก้) ได้รับมอบหมายจากลูกค้าในการตัดสินใจซื้อขายหลักทรัพย์แทนลูกค้า และไม่บันทึกการ