account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further

cancellation of a major construction project. Based on such inside information, he was able to avoid loss by selling 8,651,400 of TIES shares off the trading account of Ornsiree, his daughter during 19 May 2014

Notification* after the public prosecutor had charged them in court on account of failure to perform duties by law at the NMG 2015 annual general shareholders? meeting.  The NMG directors and executives are: (1

futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license

guidelines. Taking into account that she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.  

and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from her duty as an approved derivatives investment consultant for a period of one month. Taking into account that

such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating

instructed Kanchana, an ex-ZMICO Senior Vice President, to acquire 172,400 shares of such listed company at 5.30-8.50 baht per share, on the Stock Exchange of Thailand through securities trading account of

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the