incurred by the SEC), a suspension of trading in securities or entering into derivatives contracts for a period of 14 or 30 months  (as the case may be) and a bar from serving as directors or executives in

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

? financial status and operational result.? Besides, the SEC allows type 1 property fund to borrow for investment only for another year after REIT regulations come into force. ?The SEC Board agrees to define

on {B} and {C}, respectively, for collusively trading TWZ shares with the intention to induce the general public into buying or selling such shares in violation of Sections 243 (2) of the SEA and

by a group of persons during July 21 - August 20, 2008, the SEC probed into the case and found that {A} {B} {C} {D} {E} and four other accomplices had colluded to trade UKEM shares through seven

on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading

filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

of the bond maturity date, an adjustment of the bond interest rate, a partial repayment of the principal, and the approval to enter into any agreements, arrangements, or related documents. Such actions

2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY