the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a
Bangkok, December 13, 2010 ? The SEC will impose the revised rules governing approval of share issuance for public offering on January 1, 2011. The amendment is part of the SEC?s move toward
and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
SEC?s subsequent investigation revealed that during the aforesaid period FOCUS shares were traded in great volume and the share price changed inconsistently with normal market conditions because the
referring to certain services of the securities firms; for instance personal loan. In such cases, the securities firms were notified that the transferred money was deposited for clients? accounts while the
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result
quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the