{G}, they failed to record some of client trading orders correctly and completely. In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if
Securities and Exchange Act B.E. 2535 (1992) (SEA). The Settlement Committee, therefore, imposed a penalty fine of 80,995,415.67 baht on him.In this regard, the SEC appreciated cooperation and assistance
of 500,000 Baht each. In this regard, the SEC will also pursue administrative action in relation to capital market personnel against Chaninan in this matter.Information contained in this news release
Limited Brokerage Dealing Underwriting (LBDU) to provide the said services in a bid to facilitate access to investment in foreign products for the investors. In this regard, offering of ASEAN CIS will be
investment in all kinds of capital market products. In this regard, advices on basic asset allocation for investors are also provided.Duangmon Chuengsatiansup, SEC Assistant Secretary-General, said the SEC
in such employer?s group. In this regard, the companies in such employer?s group will be defined, in consistence with those applicable to mutual fund industry, as parent and subsidiary companies
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading