}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation
} proposed his clients the portfolio investment in advance and the clients accepted all transactions proposed. In addition, the recorded conversation showed that {A} specified securities, prices and amount to
}, 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
The call was made as the SET began the trading session by “ringing the bell for gender equality”, followed by a panel discussion and business practice sharing on improving the inclusion of women in
Bangkok, September 27, 2012 ? The Thai capital market holds the third place, following Singapore and Hong Kong, in CG Watch 2012 ? a survey on corporate governance of Asian capital markets conducted
initiated to serve as a platform for discussion on Mekong capital markets cooperation to further enhance the roles of capital markets in contributing to the growth and the wealth of people in this region. All