. Accordingly, there was no record of client's selling order.Making trading decisions of securities in the client's account without the client's order and not taping investment advices and client's orders were in

Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale

and a certain group of people. Shine was the master mind and /or beneficiary while Kittichai as aider or abettor in sending trading orders of securities in GEN?s account causing damage to the

days.In any case, failure to comply with the SEC orders or disclosure of information inconsistent with the facts may subject EARTH's directors and executives to legal action that could lead to criminal

RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In the

as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and

}, GSTEL executive and (4) {D}, GJS director and executive. The SEC found that in early 2008, GSTEL and GJS, its subsidiary, made advance purchase orders of a large amount of steel from overseas suppliers at

trade securities for his own benefits through such client?s account. Trading securities on behalf of client, making trading decision without the client?s orders in the client?s securities trading

information disclosure. Moreover, it has not yet complied with the SEC and the Stock Exchange of Thailand (SET)?s previous orders requiring the company to disclose and clarify information on land purchase and

companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the