contract for its account receivables. The SEC, therefore, directs YNP to rectify financial statements and to cooperate with one satisfy auditor in providing information and documents, and submit the
them to withdraw cash placed as collateral in their derivatives trading accounts and transferred it to the ATS account in the amount claimed to be obliged for the said fictitious transactions. Chalerm
every account had never been used to trade KARAT shares prior to Apichart?s holding a position of legal counsel for this business deal. The record showed that trading of KARAT shares through those
directly or indirectly through mutual funds. The instruments account for 47 percent of domestic issues of debt instruments. In principle, it is therefore necessary to regulate the financial institution?s
visibility and gain recognition of the Thai market in the international community. The SEC laid out the plan by taking into account compatibility with international standards, market accessibility for all
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
realization of the losses, the above four persons ordered or permitted or facilitated recording of account entries of overseas trade accounts payables lower than actual liabilities. In case of GSTEL, the said
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
Arthur Robbirt, a British citizen, on account of jointly operating securities business without license.The SEC has been informed by foreign investors residing in Thailand that Global Consultant ? located