behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and

being its employee. The SEC's probe into the case also revealed that {B} managed trading account for the client and used the password given by the client to submit trading orders via internet. He

-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized

Securities (Thailand) Public Co.,Ltd., the SEC probe into the case and found that {A} made trading confirmation and informed the clients of receipt and payment. In addition, trading reports for a number of

investment in L.V.C. Development Co., Ltd. that there might be falsification of documents on the purchase of L.V.C. Development?s shares during 2005 to syphon benefits out of POWER-P. After the SEC?s probe

performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account

behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements

Group Securities Plc., the SEC's probe revealed that with a view to speculation, {C} and {D} jointly purchased PAO shares off-exchange before PAO shares were allowed to resume trading on-exchange. They