? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of
a statement of consent to the civil sanction and fully paid a civil penalty of 500,000 baht*. The other six offenders made an appointment to make a statement of consent to pay a separate civil penalty
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
inquiry official against 558 offenders. Additionally, civil sanctions have been imposed in 62 cases against 246 offenders. These offenders gave written consent to comply with the civil sanctions imposed by
30 months.Civil sanctions imposed by the CSC will take effect when the offenders sign a letter of consent, agreeing to comply with the civil sanctions. In the event that any offenders refuse to give
Sunisa Chutinaton to pay a civil penalty totaling 1,917,937.50 baht. Civil sanctions imposed by the CSC will take effect when offenders sign a letter of consent, agreeing to comply with the sanctions. In