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
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5
Engineering Plc. (PLE) shares; as well as Usavadee Srisuchart and Perayuth Nark-In for aiding and abetting Swake?s wrongdoing. With the referral from the Stock Exchange of Thailand (SET), the SEC probed into
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was
) Boon Prasitsamrit for manipulating share price of Thai Yuan Mtal Plc. (TYM); presently known as The Steel Plc. (THE). With the referral from the Stock Exchange of Thailand, the SEC probed into the case
probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn, Nacharat and Thanatdej (or Jiraphoj) together with other 10 persons (one person died) colluded or agreed to trade
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November