without his client's orders. Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase
the duty of investment consultants to record them along with conversations at all times for evidence. The SEC places high importance in this matter because it will be beneficial to both investment
be allowed by the end of this year. Criteria for CIS to be offered will include (i) offer must be made only to institutional investor and high net worth investor with specified investment
made only to institutional investor and high net worth investor with specified investment experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
economic growth and prosperity across the region. In addition, to reiterate their commitment under MCMC framework, high-raking executives from Cambodia, Laos, Vietnam and Thailand signed a Memorandum of
trading. This resulted in high impact on RICH shares trading values and volumes while a number of trading orders were matched within the said group. {B} {C} and {D} aided or abetted the aforesaid actions
on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for
Deputy Secretary-General said, ?At present, Thailand audit oversight has been developed and recognized at international level. The SEC has placed high emphasis on uplifting quality of audit work and