}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk of securities and trading securities on
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
Picture Entertainment) in form 246-2 to the SEC Office within the specified period after she acquired or disposed Traf shares by herself and through others. So that her aggregate holding of such shares
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
/2017/011 10 พฤศจิกายน 2560 เร่ือง แจ้งยกเลิกการลงทนุในบริษัท PVR BLUO Entertainment Limited (เพิ่มเตมิ) เรียน กรรมการและผู้จดัการ ตลาดหลกัทรัพย์แหง่ประเทศไทย บริษัท เมเจอร์ ซีนีเพล็กซ์ กรุ้ป จ ากดั
/2017/011 10 พฤศจิกายน 2560 เร่ือง แจ้งยกเลิกการลงทนุในบริษัท PVR BLUO Entertainment Limited (เพิ่มเตมิครัง้ที่ 2) เรียน กรรมการและผู้จดัการ ตลาดหลกัทรัพย์แหง่ประเทศไทย บริษัท เมเจอร์ ซีนีเพล็กซ์ กรุ้ป จ
June 15, 2018 Re: Notification of Progress for the Investment in the Project of the Marvel Experience: Theme Entertainment Attraction - TMX of Hero Experience Company Limited, and Guarantee Obligation to
moderator. The topics of the conversation were: (1) Possible approaches for promoting conversations and discussions among investors, developers, business operators and the public sector; (2) Potential risks
trading transactions had no source of orders. It was also found in the recorded conversation that {A} had been allowed by the client to make securities trading decision. He informed the client of the