aforesaid. Her actions were deemed unprofessional and non-compliance with standards of conduct of investor contact that should place importance on investors' benefit, as interfering with client's asset may

as necessary to promote the nternal audit, compliance, and quality control functions to review past credit rating actions in order to carry out the responsibilities of those functions. Further, a CRA

error port without  record and evidence of clients? trading orders. Meaunchit admitted that a number of  clients had contacted her through mobile. Meaunchit?s actions were deemed trading securities for

. Otherwise, the SEC will not consider granting any more extension and will proceed with appropriate actions as deemed necessary.  The SEC has therefore instructed SAM to submit the special audit report

deposit cash into client's account. {A} also used client's account to trade securities on her own benefit with a view to obtaining commission. Her actions caused B2-3 million in damages to the client.{A

evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of

, reporting and disclosure of any actions where conflicts of interest may arise and proprietary securities trading.  The consultation paper for draft rules is available on www.sec.or.th. Stakeholders and

.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. This case is in the process