consultant, had solicited the clients to purchase over-the-counter shares of a public company that he claimed to be listed on the Stock Exchange of Thailand (SET) later. He gained a margin from the

B.E. 2535 (1992) (SEA). He earlier agreed to enter the settlement procedure; but later declined to do so. The criminal case has not been regarded as settled. As a result, the SEC has to file the

securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered

executed trading orders through the aforesaid trading accounts. {A} had denied all the accusations without adduced counter evidences. Later, she agreed to enter the settlement procedure and made the fine

} had submitted some trading orders and later asked the client to re-submit those orders via the phone recorder. Moreover, several transactions showed that the securities were traded intra-day at the

contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

TFEX?s officers and executives at all levels to seek an immediate clarification. The SEC received a preliminary explanation on the cause and later detail explanation and improvement measures. The SEC met

registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business

regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk

business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices