securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

to clients’ predetermined instructions as advised by securities brokers. ** The securities analysis and investment advisory to design a portfolio advisory that shows

etc. 3. Table summarizing financial status and performance of IPO shares, before and after getting listed on the Exchange.  Further information as well as instructions for accessing the “IPO Fact Figure

to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87

gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency.  The proposed regulations provide instructions for giving

consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or

overseas as well as in Thailand.  The revised rules cover guidelines for advertisement and publication, areas of permissible marketing activities in Thailand and instructions of benefits received from

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being