inform the client that the holding period had not yet reached 5 calendar years, causing a violation of the specified condition and the client's loss of tax benefits. Failure to give the information or

trading while the client did not reject the transactions. Besides, intra-day trading orders of a listed company's shares were found where the buying prices were higher than the selling ones, causing the

and the PPA remain unclear and uncertain while additional investment of 7,850 million baht is needed, causing IFA unable to appraise the project value; (3) various risks associated with the transaction

make securities borrowing and lending (SBL) trading decisions on the client's behalf in the client's cash account; thereby causing damage to the client. {B} admitted that he had obtained the

both securities were also stabilized to mislead that the securities were actively traded. Such trading pattern had been done on a continual basis causing the trading of both securities to be inconsistent

price under or equal to the costs causing {A} to receive significantly higher amount of incentives. Trading securities on behalf of the client, failure to perform the duties with honesty by concealing the

, and forged the clients’ signatures on sale orders and withdrawal forms for redemption proceeds, causing the clients total damages of 3,506,112.49 baht.The SEC considers Ms. Narueorn’s actions to be a

of a juristic person – ordered or acted, or failed to order or failed to act, in accordance with their duties, causing PPPM to commit the offense in this case. As a result, they are subject to the

(1st-12th offenders), and two supporters allowing their trading accounts to be used by others (13th-14th). The group jointly manipulated the KC share price during 5 January – 19 February 2015, causing

exchange fluctuations and causing to slower sales to the countries that have suffered the most such as India, Pakistan, Iran, Indonesia, and many more. However, the Company continues to expand the